agency-196•Minnesota Rules — Human Services Department
Minnesota Rules — Human Services Department
agency-196Minn. R. (Human Services Department)Regulation
Chapter 2960 LICENSURE AND CERTIFICATION OF PROGRAMS FOR CHILDREN
Minn. R. 2960.0010 Purpose and Applicability
Subpart 1. Purpose.
This chapter governs the licensing of providers of residential care and treatment or detention or foster care services for children in out-of-home placement. This chapter contains the licensing requirements for residential facilities and foster care and program certification requirements for program services offered in the licensed facilities.
The purpose of residential care is to provide temporary care or treatment for children in need of out-of-home care or treatment which is determined to meet the child's individual needs and is consistent with the timelines in Minnesota Statutes, sections 260C.503 to 260C.521, and 260C.204. The license holder must cooperate with and give support to the efforts of the placing agency regarding permanency planning for children in out-of-home placement.
Subp. 2. Scope.
This chapter applies to any unit of government, individual, corporation, limited liability corporation, partnership, voluntary association, other organization or entity, or controlling individual that operates or applies to operate a facility that provides care, treatment, detention, or rehabilitation service on a 24-hour basis to a resident. Facilities excluded from licensure under Minnesota Statutes, section 245A.03, subdivision 2, are excluded from this chapter.
Subp. 3. Exemptions from this chapter.
A. Residential service sites for persons with developmental disabilities that are licensed by the commissioner of the Department of Human Services under Minnesota Statutes, chapter 245B, and by the commissioner of the Department of Health under Minnesota Statutes, chapter 144, are exempt from this chapter.
B. Transitional services programs and shelter care service programs are exempt from parts 2960.0130 to 2960.0220.
Subp. 4. Exemption from parts 9543.1000 to 9543.1060.
Group residential facilities licensed or certified under parts 2960.0010 to 2960.0710 are exempt from parts 9543.1000 to 9543.1060.
Subp. 5. Certification.
No entity may be granted a certificate or continue to be certified without a license. A license holder or applicant may seek certification to provide more than one program service.
Subp. 6. Juvenile sex offender treatment programs.
Juvenile sex offender treatment programs are licensed under parts 2960.0010 to 2960.0220 and certified under parts 2955.0010 to 2955.0170.
Subp. 7. Statutory authority.
This chapter is adopted according to Laws 1995, chapter 226, article 3, section 60, and Minnesota Statutes, sections 241.021 and 245A.09.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211; L 2005 c 56 s 2; L 2012 c 216 art 6 s 13
Minn. R. 2960.0020 Definitions
Subpart 1. Scope.
The terms used in parts 2960.0010 to 2960.0710 have the meanings given them in this part.
Subp. 1a. Administrative separation.
"Administrative separation" means when a resident is separated from other residents because of the seriousness of the resident's behavior or because the resident's behavior cannot be addressed by placing the resident in safety-stabilization period, as prescribed under part 2960.0740, subpart 1.
Subp. 2. Adolescent.
"Adolescent" means an individual under 18 years of age, defined as a child under Minnesota Statutes, section 260C.007, subdivision 4.
Subp. 3. Applicant.
"Applicant" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 3, and has completed and signed a license or certificate application form. Applicant includes a current license holder who is seeking relicensure or recertification.
Subp. 4. Assessment.
"Assessment" means the process used by a qualified person to identify and evaluate the resident's strengths, weaknesses, problems, and needs.
Subp. 5. Aversive procedure.
"Aversive procedure" has the meaning given in part 9525.2710, subpart 4.
Subp. 6. Basic services.
"Basic services" means services provided at the licensed facility to meet the resident's basic need for food, shelter, clothing, medical and dental care, personal cleanliness, privacy, spiritual and religious practice, safety, and adult supervision.
Subp. 7. Caregiver.
"Caregiver" means a person who provides services to a resident according to the resident's case plan in a setting licensed or certified under parts 2960.0010 to 2960.0710.
Subp. 8. Case manager.
"Case manager" means the supervising agency responsible for developing, implementing, and monitoring the case plan.
Subp. 9. Case plan.
"Case plan" means a plan of care that is developed and monitored by the placing agency for a resident in a residential facility.
Subp. 10. Certification.
"Certification" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 3a.
Subp. 11. Chemical.
"Chemical" means alcohol, solvents, and other mood-altering substances, including controlled substances as defined in Minnesota Statutes, section 152.01, subdivision 4.
Subp. 12.
[Repealed, 32 SR 2268]
Subp. 13.
[Repealed, 32 SR 2268]
Subp. 14. Chemical dependency treatment services.
"Chemical dependency treatment services" means therapeutic and treatment services provided to a resident to alter the resident's pattern of harmful chemical use.
Subp. 15. Chemical irritant.
"Chemical irritant" means any nonlethal chemical compound that is used in an emergency situation to subdue or gain control of a resident who is endangering self, others, or the security of the program.
Subp. 16. Child in need of protection or services or CHIPS child.
"Child in need of protection or services" or "CHIPS child" has the meaning given in Minnesota Statutes, section 260C.007, subdivision 6.
Subp. 17. Child with a disability.
"Child with a disability" has the meaning given in Minnesota Statutes, section 125A.02.
Subp. 18. Child with severe emotional disturbance.
"Child with severe emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 6.
Subp. 19. Clinical supervision.
"Clinical supervision" means the oversight responsibility for the planning, development, implementation, and evaluation of clinical services, admissions, intake assessment, individual treatment plans, delivery of sex offender treatment services, resident progress in treatment, case management, discharge planning, and staff development and evaluation.
Subp. 20. Clinical supervisor.
"Clinical supervisor" means the person designated as responsible for clinical supervision.
Subp. 21. Commissioner.
"Commissioner" means the commissioner of the Department of Corrections or the commissioner of the Department of Human Services.
Subp. 22. Correctional program services.
"Correctional program services" means any program or activity that uses treatment services, consequences, and discipline to control or modify behavior. Correctional program services are provided to residents who are at least ten years old, but younger than 21 years old, and extended jurisdictional juveniles.
Subp. 23. Criminal sexual behavior.
"Criminal sexual behavior" means any sexual behavior as identified in Minnesota Statutes, sections 609.293 to 609.352, 609.36, 609.365, 609.79, 609.795, and 617.23 to 617.294.
Subp. 24. Critical incident.
"Critical incident" means an occurrence which involves a resident and requires the program to make a response that is not a part of the program's ordinary daily routine. Examples of critical incidents include, but are not limited to, suicide, attempted suicide, homicide, death of a resident, injury that is either life-threatening or requires medical treatment, fire which requires fire department response, alleged maltreatment of a resident, assault of a resident, assault by a resident, client-to-client sexual contact, or other act or situation which would require a response by law enforcement, the fire department, an ambulance, or another emergency response provider.
Subp. 25. Cultural competence or culturally competent.
"Cultural competence" or "culturally competent" means a set of congruent behaviors, attitudes, and policies that come together in a system or agency or among professionals to work effectively in cross-cultural situations.
Subp. 26. Deprivation procedure.
"Deprivation procedure" has the meaning given in part 9525.2710, subpart 12.
Subp. 27. Detention setting.
"Detention setting" means a residential program offering temporary care to the alleged delinquent with new charges or adjudicated delinquent residents with new charges who are at least ten years old, but younger than 21 years old, on a predispositional status.
Subp. 28. Direct contact.
"Direct contact" means the provision of face-to-face care, training, supervision, counseling, consultation, or medication assistance to a resident.
Subp. 29. Disability.
"Disability" has the meaning given in Minnesota Statutes, section 363A.03, subdivision 12.
Subp. 30.
[Repealed, 49 SR 499]
Subp. 31. Discipline.
"Discipline" means the use of reasonable, age-appropriate consequences designed to modify and correct behavior according to a rule or system of rules governing conduct.
Subp. 32. Education.
"Education" means the regular and special education and related services to which school-age residents are entitled as required by applicable law and rule.
Subp. 33. Eight-day temporary holdover facility.
"Eight-day temporary holdover facility" means a physically restricting and unrestricting facility of not more than eight beds, two rooms of which must be capable of being physically restricting. The maximum period that a juvenile can be detained in this facility is eight days, excluding weekends and holidays.
Subp. 34. Emotional disturbance.
"Emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 15.
Subp. 35. Extended jurisdiction juvenile or EJJ.
"Extended jurisdiction juvenile" or "EJJ" means a person who has been convicted of a felony and been designated by the court as an extended jurisdiction juvenile according to Minnesota Statutes, section 260B.130, and was subject to a disposition under Minnesota Statutes, section 260B.198.
Subp. 36. Family or household members.
"Family or household members" has the meaning given in Minnesota Statutes, section 260C.007, subdivision 17.
Subp. 37. Foster care.
"Foster care" has the meaning given in part 9560.0521, subpart 9.
Subp. 38. Gender-specific.
"Gender-specific" means a facility's capacity to respond to the needs of residents according to their gender-based psychosocial developmental process.
Subp. 39. Group residential setting.
"Group residential setting" means a residential program that offers care to residents and extended jurisdiction juveniles in which the license holder does not live at the licensed facility.
Subp. 40. House parent model.
"House parent model" means a staffing pattern by which the license holder employs staff to act as parents to the residents and those staff are not employed on an hourly or shift basis.
Subp. 41.
[Repealed, 32 SR 2268]
Subp. 42. Individual treatment plan.
"Individual treatment plan" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 21.
Subp. 43. Legal guardian.
"Legal guardian" has the meaning given "guardian" in Minnesota Statutes, section 525.539, subdivision 2, or "custodian" in Minnesota Statutes, section 260C.007, subdivision 10.
Subp. 44. License.
"License" means written authorization issued by the commissioner allowing the license holder to provide a residential service at a facility for a specified time and in accordance with the terms of the license and the rules of the commissioners of human services and corrections.
Subp. 45. License holder.
"License holder" means an individual, corporation, partnership, voluntary association, or other organization or entity that is legally responsible for the operation of the facility that has been granted a license by the commissioner of corrections under Minnesota Statutes, section 241.021, or the commissioner of human services under Minnesota Statutes, chapter 245A, and the rules of the commissioners of human services and corrections. The duties of the license holder may be discharged by a person designated by the license holder to act on behalf of the license holder.
Subp. 46. Mechanical restraint.
"Mechanical restraint" means the restraint of a resident by use of a restraint device to limit body movement.
Subp. 46a.
[Renumbered subp 46c]
Subp. 46b. Medical separation.
"Medical separation" means when a resident is separated from other residents because facility staff must respond to a medical event that threatens the safety of the resident, other residents, or facility staff.
Subp. 46c. Medically licensed person.
"Medically licensed person" means a person who is licensed or permitted by a Minnesota health-related board to practice in Minnesota and is practicing within the scope of the person's health-related license.
Subp. 47. Medication assistance.
"Medication assistance" means assisting residents to take medication and monitoring the effects of medication, but does not include administering injections. For purposes of this subpart, "medication" means a prescribed substance that is used to prevent or treat a condition or disease, to heal, or to relieve pain.
Subp. 48. Mental health professional.
"Mental health professional" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 27.
Subp. 49. Mental health treatment services.
"Mental health treatment services" means all of the therapeutic services and activities provided to a resident with emotional disturbance or severe emotional disturbance to care and treat the resident's mental illness.
Subp. 50. Nighttime hours.
"Nighttime hours" means the time period between 10:00 p.m. and 8:00 a.m.
Subp. 51. No eject policy.
"No eject policy" means a residential facility may not eject a resident from a facility if the resident meets continued stay criteria.
Subp. 51a. Parent.
"Parent" means the parent with parental rights or legal guardian of a resident under 18 years of age.
Subp. 52.
[Repealed, 32 SR 2268]
Subp. 53. Physical escort.
"Physical escort" means the temporary touching or holding of a resident's hand, wrist, arm, shoulder, or back to induce a resident in need of a behavioral intervention to walk to a safe location.
Subp. 54. Physical holding.
"Physical holding" means immobilizing or limiting a person's movement by using body contact as the only source of restraint. Physical holding does not include actions used for physical escort.
Subp. 55. Placement critical.
"Placement critical" means those goals or issues that required a particular out-of-home placement as opposed to nonresidential services.
Subp. 56. Program completion.
"Program completion" means that the treatment team or supervising agency determined that placement critical goals, as outlined in the resident's treatment or placement plan, were sufficiently achieved.
Subp. 57. Program director.
"Program director" means an individual who is designated by the license holder to be responsible for overall operations of a residential program.
Subp. 58. Psychotropic medication.
"Psychotropic medication" means a medication prescribed to treat mental illness and associated behaviors or to control or alter behavior. The major classes of psychotropic medication are antipsychotic or neuroleptic, antidepressant, antianxiety, antimania, stimulant, and sedative or hypnotic. Other miscellaneous classes of medication are considered to be psychotropic medication when they are specifically prescribed to treat a mental illness or to alter behavior based on a resident's diagnosis.
Subp. 59. Resident.
"Resident" means a person under 18 years old, or under 19 years old and under juvenile court jurisdiction, who resides in a program licensed or certified by parts 2960.0010 to 2960.0710.
Subp. 59a. Resident-assisted search.
"Resident-assisted search" means a search in a facility that is licensed by the commissioner of corrections in which a resident undresses behind a half door or curtain so that staff are unable to see the resident's unclothed breasts, buttocks, or genitalia.
Subp. 60. Resident district.
"Resident district" has the meaning given in part 3525.0210, subpart 39.
Subp. 61. Residential juvenile sex offender treatment program.
"Residential juvenile sex offender treatment program" means a residential program that is certified by the state to provide sex offender treatment to juvenile sex offenders.
Subp. 62. Residential program.
"Residential program" means a program that provides 24-hour-a-day care, supervision, food, lodging, rehabilitation, training, education, habilitation, or treatment for a resident outside of the resident's home.
Subp. 63. Restrictive procedure.
"Restrictive procedure" means:
A. for a facility licensed by the commissioner of human services, a procedure used by the license holder to limit the movement of a resident, including mechanical restraint, physical escort, physical holding, and seclusion; and
B. for a facility licensed by the commissioner of corrections, a procedure used by the license holder to limit a resident's movement, including mechanical restraint, physical escort, physical holding, and safety-based separation.
Subp. 63a. Safety-based separation.
Unless the context indicates otherwise, "safety-based separation" includes administrative separation, medical separation, and safety-stabilization period.
Subp. 63b. Safety-stabilization period or SSP.
"Safety-stabilization period" or "SSP" means when a resident is separated, in a locked or unlocked room, from other residents to ensure the safety of the resident, other residents, or facility staff.
Subp. 64. Screening.
"Screening" means an examination of a resident by means of a test, interview, or observation to determine if the resident is likely to have a condition that requires assessment or treatment.
Subp. 65. Seclusion.
"Seclusion" means confining a person in a locked room.
Subp. 66. Secure program.
"Secure program" means a residential program offered in a building or part of a building secured by locks or other physical plant characteristics intended to prevent the resident from leaving the program without authorization.
Subp. 67. Sex offender.
"Sex offender" means a person who has engaged in, or attempted to engage in, criminal sexual behavior.
Subp. 68. Sex offender treatment.
"Sex offender treatment" means a comprehensive set of planned and organized services, therapeutic experiences, and interventions that are intended to improve the prognosis, function, or outcome of residents by reducing the risk of sexual reoffense and other aggressive behavior and assist the resident to adjust to, and deal more effectively with, life situations.
Subp. 69. Sexually abusive behavior.
"Sexually abusive behavior" means any sexual behavior in which:
A. the other person involved does not freely consent to participate;
B. the relationship between the persons is unequal; or
C. manipulation, exploitation, coercion, verbal or physical intimidation, or force is used to gain participation.
Subp. 70. Shelter care services.
"Shelter care services" means a residential program offering short-term, time-limited placements of 90 days or less to residents who are in a behavioral or situational crisis and need out-of-home placement.
Subp. 70a.
[Renumbered subp 70d]
Subp. 70b.
[Renumbered subp 70e]
Subp. 70c. Strip search.
"Strip search" has the meaning given in Minnesota Statutes, section 241.0215, subdivision 2, paragraph (c), and applies only to a facility licensed by the commissioner of corrections.
Subp. 70d. Substance.
"Substance" means "chemical" as defined in subpart 11.
Subp. 70e. Substance use disorder.
"Substance use disorder" means a pattern of substance use as defined in the most current edition of the Diagnostic and Statistical Manual of Mental Disorders-IV-TR (DSM), et seq. The DSM-IV-TR, et seq. is incorporated by reference. The DSM-IV-TR was published by the American Psychiatric Association in 1994, in Washington, D.C., and is not subject to frequent change. The DSM-IV-TR is available through the Minitex interlibrary loan system.
Subp. 71. Target population.
"Target population" means youth experiencing special problems who have specific needs that require residential program services.
Subp. 72. Temporary holdover facility.
"Temporary holdover facility" means a facility licensed for either 24 hours, excluding weekends and holidays, or an eight-day classification, excluding weekends and holidays.
Subp. 73. Time-out.
"Time-out" means a treatment intervention in which a caregiver trained in time-out procedures removes a resident from an ongoing activity to an unlocked room or other separate living space that is safe and where the resident remains until the precipitating behavior stops.
Subp. 74.
MR 2001 [Removed, L 2003 1Sp14 art 11 s 11]
Subp. 75. Transitional services plan.
"Transitional services plan" means a plan developed by the license holder for a resident who will be discharged from the license holder's facility. The transitional services plan must identify the education, rehabilitation, habilitation, vocational training, and treatment the resident will need after discharge and recommend which agency could provide these services.
Subp. 76. Treatment plan.
"Treatment plan" means a written plan of intervention, treatment, and services for a resident in a family or group residential program that is developed by a license holder on the basis of a resident's screening, assessment, and case plan. The treatment plan identifies goals and objectives of treatment, treatment strategy, a schedule for accomplishing treatment goals and objectives, and the entities responsible for providing treatment services to the resident.
Subp. 77. Twenty-four-hour temporary holdover facility.
"Twenty-four-hour temporary holdover facility" means a physically restricting (secure) or a physically unrestricting (nonsecure) facility licensed for up to 24 hours, excluding weekends and holidays, for the care of one or more children who are being detained.
Subp. 78. Variance.
"Variance" means written permission from the commissioner of human services under Minnesota Statutes, section 245A.04, subdivision 9, or the commissioner of corrections under Minnesota Statutes, section 241.021, or their designee, for a license holder to depart or disregard a rule standard for a specific period of time.
Subp. 79. Victim.
"Victim" has the meaning given in Minnesota Statutes, section 611A.01, clause (b).
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; L 2003 1Sp14 art 11 s 11; 28 SR 1292; 32 SR 2268; 49 SR 499
Minn. R. 2960.0030 Administrative Licensing
Subpart 1. Scope.
The administrative licensing requirements of this part apply to facilities licensed under parts 2960.0010 to 2960.0290 and programs certified under parts 2960.0300 to 2960.0710.
Subp. 2. Application and license requirements.
A. Except as provided in Minnesota Statutes, section 241.021 or 245A.03, subdivision 2, a person, corporation, partnership, voluntary association, controlling individual, or other organization may operate a program if it is licensed by the appropriate licensing authority. A license is not transferable to another individual, corporation, partnership, voluntary association, other organization, controlling individual, or another location.
B. An applicant must provide the information in subitems (1) to (7) to the appropriate licensing authority before a license application will be processed.
C. An application for licensure is complete when the applicant signs the license application and submits the information required in this subpart.
D. In addition to the requirements in item C, an applicant for Department of Human Services licensure or certification must pay a licensing fee which is calculated according to parts 9545.2000 to 9545.2040.
E. A license holder must meet the management and programming standards requirements of Laws 1995, chapter 226, article 3, section 60, subdivision 2, to obtain a license.
Subp. 3. Licensure and certification by Department of Corrections.
License and certification applicants who meet the criteria in this subpart must submit a completed application to the Department of Corrections Licensing Unit. The applicant must plan to:
A. primarily serve delinquent children who are at least ten years old, but younger than 21 years old, in a residential setting;
B. operate a detention or group residential facility for children alleged to be delinquent;
C. be certified to provide residential program services for residents who need correctional programming; or
D. operate a foster care home and have been licensed as a foster care home by the Department of Corrections under chapter 2925 at the time of the adoption of this chapter.
Subp. 4. Licensure and certification by Department of Human Services.
License and certification applicants who meet the criteria in this subpart must submit a completed application to the Department of Human Services Licensing Division according to Minnesota Statutes, section 245A.04. The applicant must plan to:
A. serve children through the age of 19 in a residential setting if the license holder meets the criteria in Minnesota Statutes, section 245A.04, subdivision 11, paragraph (b);
B. operate a group residential program;
C. obtain certification to provide residential program services for residents who need chemical dependency treatment, treatment for severe emotional disturbance, shelter services, or transitional services; or
D. operate a foster home.
Subp. 5. Multiple program certifications.
If an applicant intends to provide multiple treatment services that are licensed or certified by both the Department of Human Services and the Department of Corrections, according to subparts 3 and 4, then the Department of Human Services and the Department of Corrections shall determine which commissioner will license or certify the applicant.
Subp. 6. Variance standards.
An applicant or license or certificate holder may request, in writing, a variance from rule requirements that do not affect the health, safety, or rights of persons receiving services. A variance request must include:
A. the part or parts of the rule for which a variance is sought;
B. the reason why a variance from the specified provision is sought;
C. the period of time for which a variance is requested;
D. written approval from the fire marshal, building inspector, or health authority when the variance request is for a variance from a fire, building, zoning, or health code; and
E. alternative equivalent measures the applicant or license holder will take to ensure the health and safety of residents if the variance is granted. A variance issued by the Department of Human Services must meet the requirements of Minnesota Statutes, section 245A.04, subdivision 9. A variance issued by the Department of Corrections must meet the requirements of Minnesota Statutes, section 241.021. The decision of the commissioner of human services or corrections to grant or deny a variance request is final and not subject to appeal under Minnesota Statutes, chapter 14.
Subp. 7. County notification.
Prior to submitting the initial application for licensure or certification to the licensing agency, the applicant shall notify the county board of the county in which an applicant intends to operate a program that the applicant will submit an application form to the commissioner of human services or corrections. The applicant shall include information about the intended use of the applicant's facility in the notice to the county.
Subp. 8. Denial of application.
The commissioner of human services or corrections shall deny a new license or certificate application if the applicant fails to fully comply with laws or rules governing the program. Failure to fully comply shall be indicated by:
A. documentation of specific facility or program deficiencies that endanger the health or safety of residents;
B. failure to correct a hazardous condition or be approved by fire, building, zoning, or health officials;
C. any other evidence that the applicant is not in compliance with applicable laws or rules governing the program;
D. failure to obtain approval of an on-site school from the Department of Education;
E. documentation of a disqualification of the applicant for licensure or relicensure, or the controlling individual regarding a background study which has not been set aside; or
F. failure to submit a completed application. An applicant whose application was denied by either agency must not be granted a license by either the Department of Corrections or the Department of Human Services for two years following a denial, unless the applicant's subsequent application contains new information which constitutes a substantial change in the conditions that caused the previous denial. A negative determination by one agency is proof of denial for both agencies.
Subp. 9. Drug or alcohol use prohibited.
An applicant or license holder must have a policy that prohibits license holders, employees, subcontractors, and volunteers, when directly responsible for residents, from abusing prescription medication or being in any manner under the influence of a chemical that impairs or could impair the person's ability to provide services or care for a resident. The license holder must train employees, subcontractors, and volunteers about the program's drug and alcohol policy.
Subp. 10. Policy and procedure review.
The license holder must submit the facility's program policies and procedures to the commissioner of human services or corrections for review.
Subp. 11. License and certification terms.
If the commissioner of human services or corrections determines that the program complies with all applicable rules and laws, the commissioner of human services or corrections shall issue a license. The license must state:
A. the name of the license holder;
B. the address of the program;
C. the effective date and expiration date of the license;
D. the type of license;
E. the maximum number and ages of person that may reside at the program;
F. any special conditions of licensure; and
G. any certification which is granted to the program.
Subp. 12. Licensing actions.
The Department of Human Services shall take licensing actions according to Minnesota Statutes, chapter 245A. The Department of Corrections shall take licensing actions according to Minnesota Statutes, section 241.021.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0040 Statement of Intended Use
The license holder must submit a statement of intended use as part of the license application. The statement of intended use must, at a minimum, meet the requirements in items A to F:
A. state the license holder's expertise and qualifications to provide the services noted in the program description;
B. describe the target population to be served with consideration of at least the following characteristics of the residents: cultural background, gender, age, medically fragile condition, and legal status, including children in need of protection or services petition status, delinquency, and whether the resident is in the facility as a voluntary placement or self-referral;
C. state the primary needs of residents that the license holder will meet in the licensed facility;
D. identify those resident services provided within the setting and those services to be provided by programs outside the setting;
E. state how the license holder will involve the resident's cultural or ethnic community to ensure culturally appropriate care; and
F. describe the specific extent and limitations of the program, including whether the license holder would use a restrictive procedure with a resident, under what conditions a restrictive procedure would be used, and what type of restrictive procedures a license holder would use if the license holder was certified to use restrictive procedures.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0050 Resident Rights and Basic Services
Subpart 1. Basic rights.
A resident has basic rights, including but not limited to the rights in this subpart. The license holder must ensure that the rights in items A to S are protected:
A. right to reasonable observance of cultural and ethnic practice and religion;
B. right to a reasonable degree of privacy;
C. right to participate in development of the resident's treatment and case plan;
D. right to positive and proactive adult guidance, support, and supervision;
E. right to be free from abuse, neglect, inhumane treatment, and sexual exploitation;
F. right to adequate medical care;
G. right to nutritious and sufficient meals and sufficient clothing and housing;
H. right to live in clean, safe surroundings;
I. right to receive a public education;
J. right to reasonable communication and visitation with adults outside the facility, which may include a parent, extended family members, siblings, a legal guardian, a caseworker, an attorney, a therapist, a physician, a religious advisor, and a case manager in accordance with the resident's case plan;
K. right to daily bathing or showering and reasonable use of materials, including culturally specific appropriate skin care and hair care products or any special assistance necessary to maintain an acceptable level of personal hygiene;
L. right of access to protection and advocacy services, including the appropriate state-appointed ombudsman;
M. right to retain and use a reasonable amount of personal property;
N. right to courteous and respectful treatment;
O. if applicable, the rights stated in Minnesota Statutes, sections 144.651 and 253B.03;
P. right to be free from bias and harassment regarding race, gender, age, disability, spirituality, and sexual orientation;
Q. right to be informed of and to use a grievance procedure;
R. for a facility licensed by the commissioner of human services, right to be free from restraint or seclusion used for a purpose other than to protect the resident from imminent danger to self or others; and
S. for a facility licensed by the commissioner of corrections, right to be free from:
Subp. 2. License holder duties.
The license holder must provide basic services to residents and develop operational policies and procedures which correspond to the basic rights in subpart 1.
Subp. 3. Basic rights information.
The license holder must meet the requirements of this subpart.
A. The license holder must give the resident a written copy of the resident's basic rights information and explain to the resident in a language that the resident can understand, if the resident is incapable of understanding the written basic rights documents, information about the resident's rights related to the resident's care in the licensed facility within 24 hours of admission.
B. The license holder must tell the resident's parent, guardian, or custodian within a reasonable time after admission to the facility that the information in item A is available.
C. A copy of the resident's rights must be posted in an area of the facility where it can be readily seen by staff and the resident.
D. A copy of the resident's rights must be posted in the staff work station.
E. The license holder must inform residents how to contact the appropriate state-appointed ombudsman and give residents the name, address, and telephone number of the state-appointed ombudsman.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0060 Outcome Measures; Evaluation; Community Advising
Subpart 1. Statement of program outcomes.
The license holder must have written policies that identify program outcomes and promote the resident's development as a physically and mentally healthy person. The program services offered by the license holder must be consistent with the resident's case plan.
Subp. 2. Outcome measures.
The license holder must ensure measurement of the outcomes of the license holder's services intended to promote the resident's development as physically and mentally healthy persons. The measurement must note the degree to which the license holder's services provided to the resident or the resident's family have been successful in achieving the intended outcome of the services offered to the resident and the resident's family. The license holder must measure the success in achieving the outcomes identified in the license holder's policy statement required by subpart 1. The commissioner of human services or corrections may require license holders to measure specific factors related to the outcomes in subpart 1.
Subp. 3. Program evaluation.
A. The license holder must annually evaluate strengths and weaknesses of the program using at least the performance indicators in subitems (1) to (7):
B. The program evaluation in item A must be kept for two licensing periods.
Subp. 4. Use of findings.
The license holder must use the program evaluation reports and findings in subpart 3 as a basis to make improvements in its programs.
Subp. 5. Independent program audit.
The license holder must comply and cooperate with independent program audits conducted by the commissioner of human services or corrections and comply with the findings of the audit. The license holder must document the facility's compliance with its operational policies and procedures. The license holder must retain demographic information on a resident and must document the extent of the resident's program completion on a form designated by the commissioner of human services or corrections.
Subp. 6. Community involvement.
Each facility must have a board of directors or advisory committee that represents the interests, concerns, and needs of the residents and community being served by the facility. The board of directors or advisory committee must meet at least annually. The license holder must meet at least annually with community leaders representing the area where the facility is located to advise the community leaders about the nature of the program, the types of residents served, the results of the services the program provided to residents, the number of residents served in the past 12 months, and the number of residents likely to be served in the next 12 months.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0070 Admission Policy and Process
Subpart 1. Exemptions.
Transitional services programs certified under part 2960.0500 are exempt from the requirements of subparts 4 and 5.
Subp. 2. Admission criteria.
The license holder must have written specific identifiable admission criteria that are consistent with the license holder's statement of intended use in part 2960.0040. The license holder must:
A. have sufficient resources available and qualified staff to respond to the needs of persons with disabilities admitted to the facility;
B. consider the appropriateness of placing female residents in facilities that have few other female residents and whether or not the facility could offer gender-specific program services for female residents;
C. consider the appropriateness of placing male residents in facilities that have few other male residents and whether or not the facility could offer gender-specific program services for male residents; and
D. seek the approval of the commissioner of corrections to serve EJJs who are older than 19 years of age in the same facility with residents who are less than 19 years of age.
Subp. 3. Resident admission documentation.
Upon or within five working days after admission, the license holder must obtain and document the information in items A and B to the extent permitted by law:
A. legal authority for resident placement; and
B. in collaboration with the placing agency, gather information about the resident in subitems (1) to (12), and place that information in the resident's file:
Subp. 4. Inventory and handling of resident property.
The license holder must inventory the resident's personal property, including clothing, and have the resident and the license holder sign the inventory upon admission. If the resident refuses to sign the inventory, two facility staff must sign the inventory. The license holder must ensure that a resident retain the use and availability of personal funds or property unless restrictions are justified in the resident's treatment plan.
A. The license holder must ensure separation of resident funds from funds of the license holder, the residential program, or program staff.
B. Whenever the license holder assists a resident with the safekeeping of funds or other property, the license holder must:
C. License holders and program staff must not:
Subp. 5. Resident screening.
A resident admitted to a facility must be appropriately screened by a trained person, using screening instruments approved by the commissioner of human services and corrections.
A. The license holder must ensure that the screenings in subitems (1) to (6) are completed if not completed prior to admission. The form used for screening in subitems (1) to (6) must be reviewed by a licensed professional in a related field.
B. The license holder must make an effort to determine the resident's culture and gender-based needs.
C. The license holder must screen or arrange to have a resident screened according to the timelines in subitems (1) to (3).
D. The screenings must include documented inquiries and the results of the inquiries regarding the degree to which the resident's family desires to be involved during the resident's stay at the facility. The resident and resident's family response must be documented.
E. The license holder must follow the resident's case plan and cooperate with the case manager to:
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 28 SR 211; 32 SR 2268
Minn. R. 2960.0080 Facility Operational Service Policies and Practices
Subpart 1. Exemptions.
Transitional services programs certified under part 2960.0500 are exempt from the requirements of subparts 3; 4, items C to E; 5; 6; 8 to 13; and 15.
Subp. 2. Basic services.
The license holder must provide services that fulfill the basic rights of a resident as identified in part 2960.0050, subpart 1.
A. Basic services provided by the license holder must have stated objectives and measurable outcomes.
B. License holders who do not provide a basic service in the facility must coordinate and ensure that the service is provided by the placement agency or by resources in the community.
C. The license holder must meet the basic needs of the residents served by the facility.
Subp. 3. Cooperation in treatment and basic service delivery.
The license holder must cooperate with the resident's case manager and other appropriate parties in creating and delivering basic services. In addition, the license holder must:
A. work with the resident, parent, or legal representative, and the resident's case manager and treatment team, if applicable, to implement the resident's case plan during the resident's stay in the facility. The license holder must also coordinate the license holder's plan for services to the resident with the placing agency's case plan for the resident and work with the placing agency to identify the resident's projected length of stay and conditions under which the family will be reunited, if appropriate, or specify the alternative permanency plan and what the license holder will do to help carry out the plan;
B. identify and share information about the resident's treatment and major treatment outcomes the resident will achieve while in the facility, including attaining developmentally appropriate life skills that the resident needs to have in order to be functional in a family and in the community, with persons who are directly involved in the resident's treatment plan in accordance with the resident's case plan;
C. communicate as necessary with the resident's previous school and the school the resident attends while the resident is in the license holder's facility as indicated in the resident's case plan;
D. report the resident's behaviors and other important information to the placing agency and others as indicated in the resident's case plan;
E. recommend case plan changes to the placing agency; and
F. upon request, unless prohibited by law, share information about the resident, the resident's family, and the license holder's plans and strategies to resolve the resident's identified problems with the placing authority; agencies that are providing services to the resident, resident's therapist, physician, or professional treating the resident; and agencies that must provide services to the resident after discharge from the facility. The records also must be provided to the resident's parent and guardian, if any, and the resident, unless a court or a mental health professional determines that the disclosure would be harmful to the resident. If an authorized person requests a resident's records, or their release is authorized by court order or otherwise provided by law, the license holder must respond to requests for information in three business days.
Subp. 4. Facility rules and due process system for residents.
The license holder must communicate verbally and in writing to a resident who is capable of understanding the facility's rules and the details of the due process system used in the facility. The rules must address the following topics:
A. which behaviors are considered acceptable and unacceptable and the reasons why;
B. the consequences that will be applied in recognizing and rewarding acceptable behavior and modifying unacceptable behavior;
C. the circumstances, if any, that will result in time-out or the use of a restrictive procedure;
D. the due process system that governs the facility's use of disciplinary consequences; and
E. the relationship of the resident's individualized education program discipline recommendations, if any, to the facility's discipline plan.
Subp. 5. Discipline policy and procedures required.
The license holder must have discipline policies and procedure that require the resident's abuse history and developmental, cultural, disability, and gender needs be taken into consideration when deciding the disciplinary action to be taken with a resident. The policy must include the requirements in items A to E.
A. The license holder must not subject residents to:
B. The delegation of authority by the license holder to a resident or group of residents to punish another resident or group of residents is prohibited.
C. The license holder must meet the requirements of part 9525.2700, subpart 2, item G, regarding the use of aversive or deprivation procedures with a resident who has a developmental disability.
D. The license holder must meet the following requirements for the use of time-out:
E. The license holder must be certified to use restrictive procedures according to parts 2960.0710 to 2960.0750 before using a restrictive procedure with a resident.
Subp. 5a. Department of Corrections; discipline policies and procedures; social isolation prohibited.
A. This subpart applies to facilities licensed by the commissioner of corrections.
B. A facility's discipline policies and procedures and due process system must be updated to reflect:
C. Facility staff are prohibited from socially isolating a resident as discipline by restricting the resident's right to:
Subp. 6. Daily resident activities.
The license holder must develop a written schedule of daily activities that generally describes the resident's activities for each day of the week. The license holder must know the whereabouts of each resident. The license holder must immediately notify the referring or placing agency if a resident runs away or is missing.
Subp. 7. Culturally appropriate care.
The license holder must document the provision of culturally appropriate care to each resident that includes:
A. opportunities to associate with culturally and racially similar adults, peers, and role models;
B. opportunities to participate in positive experiences related to the resident's cultural and racial group;
C. culturally appropriate program services that address the needs of all residents in care; and
D. cultural sensitivity, including the provision of interpreters and English language skill development to meet the needs of facility residents as required by Laws 1995, chapter 226, article 3, section 60, subdivision 2, paragraph (2), clause (v).
Subp. 8. Spirituality services and counseling.
A. Residents must be given an opportunity to participate in spirituality services, activities, and counseling on a voluntary basis. A resident must not be required to attend the services or activities. All spirituality services and activities must be held in a location that the residents who do not wish to participate are not exposed to the services or activities. Attendance or lack of attendance at religious services or activities must not be considered as a basis for any right or privilege in the facility.
B. The license holder must arrange with the clergy or spiritual leaders within the area to provide spiritual counseling if requested by a resident. Every effort must be made by the license holder to accommodate a resident or a resident's family's request to meet the resident's spiritual needs, including spiritual needs related to the resident's culture, in the facility. If the resident's or resident's family's request cannot be met, the license holder must document the reason.
C. The license holder shall allow residents who request private interviews or counseling regarding spiritual, personal, or family problems the opportunity to meet with a spiritual or religious person of their choice within reasonable facility rules needed to protect the facility's security and the safety of other residents and staff within the facility.
Subp. 9. Educational services.
The license holder must ensure that educational services are provided to residents according to items A to D, except where not applicable, due to the age of the resident or the resident's short stay in the facility.
A. The license holder must facilitate the resident's admission to an accredited public school or, if the resident is home-schooled or educated at a private school or school operated by the license holder, the school must meet applicable laws and rules. If the educational services are provided on the grounds of the facility, the license holder must:
B. The license holder must facilitate the resident's school attendance and homework activities.
C. The license holder must inquire at least every 90 days to determine whether the resident is receiving the education required by law and the resident's individualized education program that is necessary for the resident to make progress in the appropriate grade level. The license holder must report the resident's educational problems to the case manager or placing agency.
D. The license holder must provide education about chemical health to the resident who has had a problem related to inappropriate chemical use, but who does not have a sufficient chemical use history to refer to treatment. The education must provide the resident with opportunities to examine the problems associated with inappropriate chemical use.
Subp. 10. Exercise and recreation.
The license holder must develop and implement a plan that offers appropriate recreation for residents.
Subp. 11. Health and hygiene services.
The license holder must meet the conditions in items A to F.
A. The license holder must provide a resident with timely access to basic, emergency, and specialized medical, mental health, and dental care and treatment services by qualified persons that meet the resident's needs. The license holder's health services plan must include the requirements in subitems (1) to (3).
B. The license holder must maintain a record of the illness reported by the resident, the action taken by the license holder, and the date of the resident's medical, psychological, or dental care.
C. Maintaining stock supplies of prescription drugs at the facility is prohibited.
D. The license holder, in consultation with a medically licensed person, must have a plan for the safe storage and delivery of medicine. The license holder must meet the requirements in subitems (1) to (5).
E. The license holder must keep records for a resident who receives prescription drugs at the facility and note: the quantity initially received from the pharmacy, amount of medication given, dosage, and time when the medication was taken. The license holder must document a resident's refusal to take prescription medication.
F. Prescription medicine belonging to a resident must be given to the resident's parent or legal guardian upon the resident's release or must be disposed of according to a pharmacy-approved plan. The license holder must note the disposition of the resident's medicine in the resident's file. The license holder must give a resident who is 18 years of age or older the prescription medication prescribed for the resident.
Subp. 12. Food and nutrition.
The license holder must provide:
A. a balanced diet consisting of foods and beverages that are palatable, of adequate quantity and variety, and prepared and served at appropriate temperatures to protect residents from foodborne illness and conserve nutritional value;
B. a diet medically prescribed, if ordered by a resident's physician or, in the case of a pregnant resident, recommended or ordered by a prenatal care provider; and
C. a diet that does not conflict with the resident's religious or cultural dietary regimen.
Subp. 13. Resident clothing, bedding, and laundry.
The license holder must ensure that a resident has:
A. an adequate amount of clean clothing appropriate for the season;
B. an appropriate sized, clean, fire-retardant mattress; two sheets or one sheet and clean mattress cover; sufficient clean blankets to provide comfort under existing temperature conditions; and one pillow and one pillowcase that is antiallergenic, if required, to meet a resident's health care needs. Existing non-fire-retardant mattresses may continue to be used until they are replaced, provided that the existing mattresses are replaced no later than July 1, 2015; and
C. adequate bath towels and washcloths. Clean bedding and linens must be furnished upon each new admission, and bedding and linens must be cleaned once a week or more often as needed to maintain a clean and safe environment. Bedding and linens that are worn out or unfit for further use must not be used.
Subp. 14. Emergency plan.
The license holder must develop a written emergency plan that specifies actions by staff and residents required for the protection of all persons in the case of an emergency, such as a fire, natural disaster, serious illness, severe weather, disappearance of a resident, or other situation that may require a law enforcement response or other emergency response. The plan must be developed with the advice of the local fire and emergency response authorities. The plan must specify responsibilities assumed by the license holder for assisting a resident who requires emergency care or special assistance to a resident in emergencies. The license holder must review the plan with staff and residents at least once every six months. The license holder must keep documentation showing compliance with the emergency plan and the semiannual review.
Subp. 15. Communication and visitation.
The license holder must have a written policy about resident communications and visiting with others inside and outside of the facility that meets the requirements of items A and B.
A. The license holder must have a written policy about the use of the telephone, mail, adaptive communications devices, and other means of communication, compatible with the needs of other residents and the resident's case plan.
B. License holders may not restrict the visiting rights of the parents of a resident beyond the limitations placed on those rights by a court order under Minnesota Statutes, section 260C.201, subdivision 5, or limitations in the resident's case plan. The visiting policy must allow parental visits at times that accommodate the parent's schedule.
Subp. 16. Resident records.
A license holder must:
A. maintain and make available to the commissioner of human services and corrections sufficient documentation to verify that all requirements of the rules governing the care of the resident have been met;
B. maintain and make available upon request the resident's records according to the requirements of rule and statute;
C. comply with the requirements of the case manager for the release of information about the resident, unless prohibited by law; and
D. use forms approved by the commissioner of human services or corrections and collect demographic information about residents and their families and outcome measures about the success of services that meet the requirements of Laws 1995, chapter 226, article 3, section 60, subdivision 2, clause (1)(iii).
Subp. 17. Critical incident and maltreatment reports.
The license holder must report critical incidents and the maltreatment of a resident according to items A to D.
A. The license holder must report critical incidents of a serious nature that involve or endanger the life or safety of the resident or others to the commissioner of human services or corrections within ten days of the occurrence on forms approved by the commissioner of human services or corrections. The license holder must maintain records of all critical incidents on file in the facility.
B. The license holder must meet the reporting requirements of Minnesota Statutes, chapter 260E and section 626.557, if applicable, and other reporting requirements based on the age of the resident.
C. The license holder must develop policies and procedures to follow if maltreatment is suspected.
D. The license holder must review policies and procedures about maltreatment at least annually and revise the policies if the maltreatment laws change or if the license holder's review of incident reports or quality assurance reports indicates that a change in maltreatment policy or procedure is warranted.
Subp. 18. Resident and family grievance procedures.
A. The license holder must develop and follow a written grievance procedure that allows a resident, the resident's parent or legal representative, a guardian, or a concerned person in the resident's life to make a formal complaint or suggestion or express a concern about any aspect of the resident's care during the resident's stay in the facility. The license holder and staff must not attempt to influence a resident's statement about the facility in the grievance document or during an investigation resulting from the grievance. The written grievance procedure must require, at a minimum, that:
B. If a grievance is filed, the license holder must document the grievance along with the investigation findings and resulting action taken by the license holder. Information regarding the grievance must be kept on file at the facility for two licensing periods.
Subp. 19. Family involvement.
If family involvement is a goal in a resident's case plan, the license holder must list procedures and program plans which are in accordance with a resident's case plan, that facilitate the involvement of the resident's family or other concerned adult, in the resident's treatment or program activities.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; L 2005 c 56 s 2; L 2011 1Sp11 art 3 s 12; 49 SR 499
Minn. R. 2960.0090 Discharge and Aftercare
Subpart 1. Exemption.
Transitional services programs certified under part 2960.0500 are exempt from the requirements of subpart 3.
Subp. 2. No eject policy.
A license holder must have a written no eject policy. Before discharging a resident who has not reached the resident's case plan goals, or treatment plan goals for a resident who has a treatment plan, the license holder must confer with other interested persons to review the issues involved in the decision. During this review process, which must not exceed five working days, the license holder must determine whether the license holder, treatment team, interested persons, if any, and the resident can develop additional strategies to resolve the issues leading to the discharge and to permit the resident an opportunity to continue to receive services from the license holder. If the review indicates that the decision to discharge is warranted, the reasons for it and the alternatives considered or attempted must be documented. A resident may be temporarily removed from the facility during the five-day review period. This subpart does not apply to a resident removed by the placing authority or a parent or guardian.
Subp. 3. Return of resident's property.
The license holder must return all of the resident's personal property to the resident along with a signed receipt upon discharge, unless prohibited to do so by law or case plan. Discrepancies between the resident's inventoried property turned over to the facility at admission and the property returned to the resident at discharge, and the resolution of the discrepancy, must be documented by facility staff.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0100 Personnel Policies
Subpart 1. Staffing plan.
The license holder must have a staffing plan that:
A. is approved by the commissioner of human services or corrections;
B. identifies the assignments of facility staff; and
C. meets the cultural and ethnic needs of the facility residents to the extent permitted by law.
Subp. 2. Recruitment of culturally balanced staff.
To the extent permitted by law, it is the license holder's responsibility to actively recruit, hire, and retain full-time staff who are responsive to the diversity of the population served. If the facility staffing plan does not meet the cultural and racial needs of facility residents according to subpart 1, item C, the license holder must document the reasons why and work with cultural or racial communities to meet the needs of residents. In addition, the license holder must contact a cultural or racial community group related to the resident's cultural or racial minority background and seek information about how to provide opportunities for the resident to associate with adult and peer role models with similar cultural and racial backgrounds on a regular basis. The license holder must maintain annual documentation regarding the license holder's efforts to meet the requirements of this subpart.
Subp. 3. Orientation and in-service training.
The license holder must provide training for staff that is modified annually to meet the current needs of individual staff persons. The training must be directly related to serving the program's target population and to achieving the program's outcomes. The license holder must ensure that staff who will have direct contact with residents attend and successfully complete orientation training before having unsupervised contact with residents.
A. Orientation training must include at least the subjects in subitems (1) to (6):
B. The license holder must ensure that staff who have direct contact with residents receive ongoing training. Training must help staff meet the needs of residents and must include skills development.
Subp. 4. Specialized training.
If needed, license holders and staff must have specialized training to develop skills to care for residents. Specialized training must be directly related to serving the program's target population and to meeting the program's certification requirement, if the program has been certified.
Subp. 5. Documentation of training.
The license holder must document the date and number of hours of orientation and in-service training completed by each staff person in each topic area and the name of the entity that provided the training.
Subp. 6. License holder and staff qualifications.
A. The license holder and staff must have the education and experience required to meet the functions and program activities that the license holder declared in the facility statement of intended use according to part 2960.0040. The license holder, or the license holder's representative acting on behalf of the license holder, must be a responsible, mature, healthy adult who is able to carry out the license holder's duties. The license holder and staff must be able to accomplish the license holder's duties to the resident's case plan and treatment plan and meet the resident's needs.
B. Staff must be trained in gender-based needs and issues.
C. The license holder and staff must be at least 21 years old unless stated otherwise in this chapter.
Subp. 7. Background study.
A license holder and individuals identified in Minnesota Statutes, sections 241.021 and 245A.04, subdivision 3, must submit to a background study.
A. Background checks conducted by the Department of Human Services are conducted according to Minnesota Statutes, section 245A.04, subdivision 3.
B. Background checks conducted by the Department of Corrections are conducted according to Minnesota Statutes, section 241.021, subdivision 6.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0110 Physical Environment and Equipment
Subpart 1. Physical environment and equipment.
The facility must be equipped and maintained in a manner that conforms to its statement of intended use.
Subp. 2. Comfort, privacy, and dignity.
The physical environment must provide for the comfort, privacy, and dignity of residents.
Subp. 3. Adequate facilities for services.
A. The license holder must ensure that food services, storage, housekeeping, laundry, and maintenance are operated on a consistent, healthy basis.
B. If food service is contracted to a food service vendor, the food service vendor must meet health code requirements.
C. If the license holder provides educational services on site, the classrooms must provide an atmosphere that is conducive to learning and meets the resident's special physical, sensory, and emotional needs.
D. The license holder must provide adaptive equipment and furnishings to meet the resident's special needs.
Subp. 4. First aid kits.
A facility must have first aid kits readily available for use by residents and staff. The kits must be sufficient to meet the needs of residents and staff.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0120 Physical Plant Standards
Subpart 1. Exemptions.
Transitional services programs certified under part 2960.0500 are exempt from the requirements in subpart 2, item C.
Subp. 2. Code compliance.
A facility must comply with the applicable fire, health, zoning, and building codes and meet the physical plan and equipment requirements in items A to I.
A. A sleeping room must not be used to accommodate more than four residents. Multibed bedrooms must provide a minimum of 60 square feet per resident of useable floor space with three feet between beds placed side by side and one foot between beds placed end to end for ambulatory residents. For nonambulatory residents, the multibed bedrooms must provide 80 square feet per resident of useable floor space.
B. A resident must have adequate space for clothing and personal possessions, with appropriate furnishings to accommodate these items.
C. Facility grounds must provide adequate outdoor space for recreational activities.
D. There must be one shower or bathtub and sink with hot and cold water and one toilet for every eight residents.
E. The heating plant must be of a size and capacity to maintain a comfortable temperature in all resident rooms and other areas of the facility used by residents.
F. The facility must have sufficient electric lighting in combination with natural lighting to provide reasonable light levels for the function of each given area.
G. The facility must have sufficient space provided for indoor quiet and group program activities.
H. The facility providing educational services on site must meet the physical plant and equipment requirements of the Department of Education for the provision of educational services.
I. A facility providing intake or admission services must have sufficient space to conduct intake functions in a private, confidential manner or provide the opportunity to conduct private meetings, including intake activities in a separate space.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0130 Purpose and Applicability
Subpart 1. Purpose.
Parts 2960.0130 to 2960.0220 establish the minimum standards that a group residential facility must meet to qualify for licensure by the designated commissioner. A group residential setting license holder must also meet the requirements of parts 2960.0010 to 2960.0120.
Subp. 2. Applicability.
Parts 2960.0130 to 2960.0220 govern facilities licensed as group residential settings.
Subp. 3. Certification option.
A program licensed as a group residential setting is not required to obtain a treatment certification.
Subp. 4. Exemptions.
The exemptions in items A and B apply.
A. Transitional services programs certified under part 2960.0500 are exempt from the requirements of parts 2960.0130 to 2960.0220.
B. Shelter services programs certified under parts 2960.0510 to 2960.0530 are exempt from the requirements of parts 2960.0130 to 2960.0220.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0140 Program Quality, Assurance, and Improvement
Subpart 1. Resident and family satisfaction survey.
A. The license holder may ask the commissioner of human services or corrections for permission to use a random sample of residents, parents, and guardians. At a minimum, the license holder must attempt to survey each released resident, the resident's parents or legal guardians and custodians, and the referring agency regarding the license holder's satisfaction with the services in subitems (1) to (7):
B. The results of each resident's survey must be available on file in the facility for review for at least two inspection cycles.
Subp. 2. Treatment plan compliance.
Following the resident's discharge, the license holder must document the extent to which the resident's stay in the facility met the goals and objectives identified in the resident's treatment plan. Documentation must include at least:
A. the services identified in the resident's treatment plan that were provided to the resident directly by the license holder and the services that were provided by a provider other than the license holder; and
B. the extent to which the services provided to the resident contributed to achieving the goals and objectives identified in the resident's treatment plan.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211; L 2011 1Sp11 art 3 s 12
Minn. R. 2960.0150 Personnel Policies
Subpart 1. Job descriptions.
The license holder must have written job descriptions for all position classifications and post assignments that define the responsibilities, duties, and qualifications staff need to perform those duties. The job descriptions must be readily available to all employees.
Subp. 2. Professional licensure.
The license holder must keep records showing that staff professional licensure is current.
Subp. 3. Staffing plan.
The license holder must prepare and obtain approval from the commissioner of human services or corrections of a written staffing plan that shows staffing assignments and meets the needs of the residents in placement. The license holder must use the criteria in items A to J to develop the facility's staffing plan.
A. The license holder must designate a chief administrator of each facility.
B. In the temporary absence of the chief administrator, a staff person must be designated as a person in charge of the facility.
C. The license holder must designate a program director of the facility. A program with more than 24 residents must have a full-time program director.
D. The license holder must not assign staff who supervise residents in a manner that invades the privacy of residents or embarrasses or diminishes the dignity of residents by requiring staff of the opposite gender to perform the duties in subitems (1) to (4):
E. The written staffing plan must include a contingency plan that ensures an immediate response by on-call staff of the same gender as the resident when:
F. The license holder may assign medically licensed staff and purchase the services of persons who are medically licensed to care for or treat residents of the opposite sex. However, if a resident asks that a medically licensed person of the same sex perform the procedures in item D, subitem (2), the license holder must provide same sex medically licensed personnel to perform the procedures in item D, subitem (2). Medically licensed personnel must perform the duties in item D, subitem (2).
G. The minimum number of direct care staff that must be present and awake when residents are present and awake is one staff person per 12 residents. At a minimum, one staff person per 25 residents must be present and awake at all times in the facility when residents are normally asleep. Programs must meet the requirements of subitems (1) to (3) if they do not have awake staff at times when residents are normally asleep:
H. The license holder must designate one full-time staff person for every 25 residents to coordinate resident treatment and case plans.
I. The license holder must designate a person to coordinate volunteer services, if volunteers are used by the facility. The license holder must have a system for registration and identification of volunteers. Volunteers who have unsupervised contact with residents must have a background check. The license holder must require volunteers to agree in writing to abide by facility policies. Volunteers must be trained and qualified to perform the duties assigned to them.
J. The staffing plan must be appropriate for the program services offered to the resident, physical plant features and characteristics of the facility, and condition of the resident. The license holder must consider the factors in subitems (1) to (9) when developing the staffing plan:
Subp. 4. Personnel training.
The license holder must develop an annual training plan for employees that addresses items A to D.
A. Full-time and part-time direct care staff and volunteers must have sufficient training to accomplish their duties. The license holder must determine the amount of training needed by considering an employee's position description, the tasks to be performed, and the performance indicators for the position. To determine the type and amount of training an employee needs, the license holder must also consider the program's target population, the services the program delivers, and the outcomes expected from the services.
B. Staff who have direct contact with residents must complete at least 24 hours of in-service training per year. One-half of the training must be skill development training. Staff who do not have direct contact and volunteers must complete in-service training requirements consistent with their duties, directly related to the needs of children in their care.
C. The license holder must provide orientation and training to staff and volunteers regarding:
D. Part-time direct care staff must receive sufficient training to competently care for residents. The amount of training must be provided at least at a ratio of one hour of training for each 50 hours worked, up to 24 hours of training per part-time employee per year.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0160 Admission Policies and Process
Subpart 1. Admission criteria.
A license holder must develop resident admission criteria consistent with the license holder's statement of intended use and program services certifications. The admission criteria must describe the age of the resident to be served, whether both male and female residents are served, whether there are limitations about who the program will serve, and what types of problems and primary needs the program will meet during the resident's stay.
Subp. 2. Ability to meet resident needs.
Before admission of a resident, the license holder must examine the placement agency's information about the resident and must determine and document whether the program can meet the resident's needs. The license holder must document whether:
A. the resident is a danger to the resident's self or others;
B. the relevant screening and assessment of the resident was completed;
C. the program is able to meet the resident's cultural, emotional, educational, mental health, and physical needs;
D. the resident is a sex offender. The license holder must take special precautions when a resident is considered likely to engage in sexually abusive behavior. The license holder must assess the resident to determine which precautions may be appropriate, such as to give the resident an individual sleeping room, and direct staff to pay special attention to the resident's interactions with others. The license holder's care for a resident likely to engage in sexually abusive behavior must protect the resident, other residents, staff, and the community. The license holder must consider the vulnerability of other residents in the facility when caring for a sex offender; and
E. the resident has a substance use disorder. If the resident requires a chemical use assessment, the chemical use assessment must be conducted by an alcohol and drug counselor licensed according to Minnesota Statutes, chapter 148C, or an assessor, as defined in part 9530.6605, subpart 4. Information obtained in the chemical use assessment must be recorded in the resident's record and must include the information required in part 9530.6620, subpart 1. The chemical use assessment must address the resident's:
Subp. 3. Privacy.
All admission procedures must be conducted in a manner and location that ensures the personal privacy of the resident.
Subp. 4. Information to residents.
The license holder must give residents the information in items A to C.
A. Copies of facility rules must be made available to all residents who can read at the time of admission. The facility rules must include:
B. Each resident, within 24 hours of admission, must be provided with a copy of a description of the applicable programs and activities available to residents in the facility.
C. Rules and program information must be read to those residents incapable of understanding written documents or who are unable to read. The license holder must consider the languages the resident understands and the resident's age and ability when presenting information to the resident.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 28 SR 211; 32 SR 2268
Minn. R. 2960.0170 Classification and Separation of Residents
Subpart 1. Classification of residents.
The license holder must develop a classification plan and house residents in living units that are consistent with the license holders's statement of intended use. Resident classification criteria for living unit assignment must include consideration of at least the following factors: age, developmental level, gender, physical assaultiveness, delinquent sophistication, and run risk. The classification plan must be reviewed and approved by the commissioner of human services or corrections.
Subp. 2. Separation of residents by gender.
There must be complete separation of sleeping and toilet facilities to the extent necessary to ensure a resident's privacy from residents of the opposite gender.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0180 Facility Operational Policies and Practices
Subpart 1. Policy manuals.
The license holder must submit the facility policy and procedures manuals to the commissioner of human services or corrections for review and make the manuals available to all staff within the facility.
Subp. 2. Facility programs.
The license holder must prepare written program descriptions and policies and procedures that implement the program described. Measurable program outcomes must also be identified.
A. The minimum program components must include the requirements in subitems (1) to (3).
B. Each resident must have a treatment plan.
Subp. 3. Records and reports.
The license holder must have a record retention schedule. The license holder must:
A. comply with reporting requirements of Minnesota Statutes, section 253C.01;
B. maintain the records in subitems (1) to (13) according to state law:
C. store records in an organized, retrievable manner that ensures confidentiality.
Subp. 4. Audio or visual recording of resident.
Photographs, videotapes, and motion pictures of a resident taken on program premises or by program personnel are considered a resident record. Photographs of a resident for identification and recordings by videotape and audiotape for the purpose of enhancing therapy, staff supervision, or security may be required. A resident must be informed when actions are being recorded, and has the right to refuse any recording unless authorized by law, necessary for program security, or to protect the health and safety of a resident. The use of an audio or visual recording of a resident must comply with data practices laws.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0190 Discharge and Aftercare
Subpart 1. Discharge.
The license holder must meet requirements of items A and B.
A. Prior to the resident's release from the program, the license holder, in conjunction with the placing agency, must develop a transition services plan for the resident. The plan must recommend ways to meet the resident's needs and identify resources that are available in the community to address the resident's continuing needs after release from the facility. The plan must consider the environment into which the resident will return, and recommend how the resident may deal with issues and potential challenges within that environment. The plan must be developed with input from the resident, the resident's family members, if appropriate, the providing school district, and the persons who will provide support services to the resident upon release. A copy of the plan must be given to the resident and to the school, or to the residential treatment facility that the resident will attend or is placed in after release.
B. The transition services plan must include at least the elements in subitems (1) to (7):
C. The license holder must give written notice of the resident's projected discharge date to:
Subp. 2. Treatment plan compliance.
The license holder must document the extent to which the resident's stay in the facility met the goals and objectives of the resident's treatment plans as follows:
A. identify which services, including education, were provided directly or indirectly to the resident and who provided the services; and
B. identify the services, including education, that were recommended in the resident's case plan or treatment plan but were not provided to the resident.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0200 Physical Plant and Environment
A group residential facility must meet the requirements in items A to D.
A. Buildings, structures, or enclosures used by the facility, including walls, floors, ceilings, registers, fixtures, equipment, and furnishings, must be kept in good repair.
B. Written policies and procedures must specify the facility's fire prevention protocols, including fire drills, and practices to ensure the safety of staff, residents, and visitors. The policies must include provisions for adequate fire protection service, inspection by local or state fire officials, and placement of fire hoses or extinguishers at appropriate locations throughout the facility.
C. The license holder must have a written maintenance plan that includes policies and procedures for detecting, reporting, and correcting building and equipment deterioration, safety hazards, and unsanitary conditions.
D. The license holder must have a written smoking policy for the facility that applies to staff and residents that complies with Minnesota Statutes, sections 144.411 to 144.417, and Public Law 103-227, title X, section 1043.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0210 Facility and Equipment Codes
Subpart 1. Facility codes.
The facility's location, buildings and grounds, offices, and other structures must conform to applicable health, fire, zoning, and building codes and the requirements of part 2960.0110.
Subp. 2. Equipment codes.
The facility's food service, plumbing, ventilation, heating, cooling, lighting, elevators, and other fixtures and equipment must conform to applicable health, sanitation, and safety codes and regulations.
Subp. 3. Safety reports maintained.
The facility must maintain in a permanent file the reports of insurance coverage; occupational safety and health administration reports; incident reports; and reports of health, fire, and other safety inspections.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0220 New Construction Standards
Subpart 1. New construction standards.
New secure juvenile certified correctional group residential facilities must meet the minimum physical plant construction standards developed by the Department of Corrections.
Subp. 2. Nonsecure construction standards.
New construction of nonsecure residential facilities must meet state and local building codes and the physical plant requirements in part 2960.0120. Correctional group residential construction plans and schematics must be reviewed and approved by the Department of Corrections before the license holder allows bids for construction.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0230 Purpose and Applicability
Subpart 1. Purpose.
Parts 2960.0230 to 2960.0290 establish additional minimum standards that facilities providing detention services must meet to qualify for licensure by the commissioner of corrections. The license holder must also comply with parts 2960.0010 to 2960.0120.
Subp. 2. Applicability.
Parts 2960.0230 to 2960.0290 apply to any unit of government, individual, corporation, limited liability corporation, partnership, voluntary association, other organization, or controlling individual that operates a facility that provides detention services on a 24-hour basis to a juvenile who is alleged to be a delinquent, an adjudicated delinquent, an extended jurisdiction juvenile, or a child in need of protection or services on predispositional status who is at least ten years old but not older than 21 years old. The facility classifications governed by parts 2960.0230 to 2960.0290 are:
A. secure detention facilities;
B. eight-day temporary holdover facilities; and
C. 24-hour temporary holdover facilities.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0240 Personnel Policies
Subpart 1. Job descriptions and staff qualifications.
Job descriptions and staff qualifications must meet the requirements in items A and B.
A. The license holder must have written job descriptions for all position classifications and post assignments that define responsibilities, duties, and qualifications needed to perform those duties. The job description must be readily accessible to all employees.
B. Staff who supervise residents must be at least 21 years old. Persons older than 18 years old but younger than 21 years old may be employed if they are enrolled or have completed course work in a postsecondary education program to pursue a degree in a behavioral science.
Subp. 2. Professional licensure.
The license holder must maintain documentation showing that licensure is current for staff whose positions require professional licensure.
Subp. 3. Staffing plan.
The license holder must prepare and obtain approval from the commissioner of corrections of a written staffing plan that shows staff assignments and meets the needs of the residents in placement. The license holder must use the criteria in items A to J to develop the facility's staffing plan.
A. The license holder must designate a chief administrator of each facility.
B. In the temporary absence of the chief administrator, a staff person must be designated as the person in charge of the facility.
C. The license holder must designate a program director of the facility. A program with more than 24 residents must have a full-time program director.
D. The license holder must not assign staff in a manner that invades the privacy of residents or embarrasses or diminishes the dignity of residents by requiring staff of a different gender to perform the duties in subitems (1) to (4):
E. The minimum number of staff who have direct contact that must be present and awake when residents are present is one staff person per 12 residents. At a minimum, one staff person per 25 residents must be present and awake at all times in the facility when residents are normally asleep.
F. Minimum staffing requirements for temporary holdover facilities are described in subitems (1) to (5).
G. The license holder must designate a person to coordinate volunteer services, if volunteers are used by the facility. The license holder must have a system for registration and identification of volunteers. Volunteers who have unsupervised contact with residents must have a background check. The license holder must require volunteers to agree in writing to abide by facility policies. Volunteers must be trained and qualified to perform the duties assigned to them.
H. The staffing plan must be appropriate for the program services offered to the resident and the condition of the resident. The license holder must consider the factors in subitems (1) to (9) when developing the staffing plan:
I. Physical plant features and characteristics must also be considered when approving the program's staffing plan.
J. Staffing plans must be readily available for each licensing inspection.
Subp. 4. Personnel training.
The license holder must provide staff training.
A. The license holder must develop and implement a training plan for orientation and continuing in-service training programs for all employees and volunteers. The plan must enable personnel to improve their knowledge, skills, and abilities and promote awareness and appreciation of, and sensitivity to, the cultural background and needs of the residents served by the facility. The training and development plan must:
B. The facility must offer orientation for new employees regarding agency objectives, resources, policies, and services. Employees must be oriented to the facility's goals, services, policies, and operational procedures; the cultural diversity of the service population; and the agency's relationship with the providing school district and other community resources.
C. Employees of a long-term secure detention facility who have direct contact with residents must complete a minimum of 40 hours of in-service training per year. One-half of the training must be skill development training. Staff of an eight-day temporary holdover facility must complete 24 hours of in-service training. Twenty-four-hour temporary holdover staff and other facility staff and volunteers must complete in-service training consistent with professional licensure requirements and responsibilities and the license holder's annual training plan.
Subp. 5. Strip searches and resident-assisted searches; training.
A. Staff conducting a strip search or resident-assisted search must receive annual training on trauma-informed techniques as follows:
B. The commissioner of corrections must provide training guidance on trauma-informed techniques and post the guidance on the department's website.
C. The training under item A must be documented according to part 2960.0100, subpart 5.
Subp. 6. Strip searches and resident-assisted searches; requirements.
A. All strip searches and resident-assisted searches in facilities licensed by the commissioner of corrections must be conducted according to this subpart.
B. Staff conducting a strip search or resident-assisted search must:
C. A strip search and resident-assisted search must be conducted:
D. A staff member must consult with a mental health professional or, if a mental health professional is unavailable, a medically licensed person before conducting a strip search if a resident with a known or suspected mental health diagnosis, history of sexual abuse, or other mental-health-related history identified in the resident's screening objects to the search.
E. A strip search must be conducted one body half at a time, allowing a resident to choose whether to have the top or bottom half of their body searched first without having to be fully unclothed at any point during the search.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0250 Admission and Release Policy and Process
Subpart 1. Personal privacy.
Admission procedures must be conducted in a manner and location that ensures the personal privacy of the resident and the confidentiality of the transaction from unauthorized personnel.
Subp. 2. Admission criteria.
Detention statutory criteria for admission into a facility must be met prior to any person being admitted into the detention facility.
Subp. 3. Information to residents.
The license holder must make information available to a resident in a language the resident can understand.
A. A copy of facility rules must be made available to a resident throughout confinement concerning rules governing conduct, the facility's due process system, and disciplinary consequences; procedures for obtaining personal hygiene and canteen items; and policies governing visiting, correspondence, bathing, laundry, and clothing and bedding exchange.
B. The license holder, within 24 hours of admission, must either give a copy to or advise the resident of the facility's rules and activities, the outside resources available, and the addresses and telephone numbers of the state-appointed ombudsman. A juvenile admitted into a 24-hour temporary holdover facility must be provided the information at the time of admission.
C. Items A and B must be explained to a resident who is unable to read or who has questions about facility rules.
D. The license holder must advise the resident upon admission of the resident's legal rights regarding detention or confinement. The resident must be advised of the official charge or legal basis for detention.
E. The license holder must notify the parent or legal custodian or guardian of the resident's admission into detention and the address of the facility, unless notice was given by the referring agency.
Subp. 4. Search, strip search, and resident-assisted search.
A. Upon admission, a resident's personal belongings must be examined in a manner and in a location that ensures the resident's personal privacy. Items taken from the resident during the search must be included in the resident's personal property inventory.
B. Each strip search must be conducted according to part 2960.0240, subpart 6; and Minnesota Statutes, section 241.0215, subdivision 3. Internal body searches of the anus or genitalia are prohibited.
C. Before a staff member may conduct a strip search or resident-assisted search, the staff member must receive training on trauma-informed techniques according to part 2960.0240, subpart 5.
Subp. 5. Resident clothing.
The license holder may determine the type of clothing a resident must wear. However, uniforms are discouraged and the license holder must consider the resident's cultural dress customs when developing resident clothing policies.
Subp. 6. Discharges and releases.
Discharges and releases must be according to items A and B.
A. No resident must be released in inclement weather without proper clothing to ensure health and safekeeping.
B. A resident must be permitted to make arrangements for transportation prior to release.
Subp. 7. Transitional services plan.
The license holder must assist the case manager to develop the transitional services plan, if requested by the case manager.
Subp. 8. Case plan compliance.
The license holder must document the extent to which the requirements of the resident's case plan were addressed while the resident was in the facility, if the resident has a case plan. The license holder must:
A. identify which services were provided directly or indirectly to the resident and who provided the services;
B. identify which services were not provided to the resident, but should have been, and the party who was responsible to provide the services; and
C. document the extent to which the license holder met the expected outcomes identified in the resident's case plan.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0260 Classification and Separation of Residents
Subpart 1. Classification of residents.
The license holder must develop a classification plan that is consistent with the license holder's statement of intended use. The license holder must house residents in living units according to the classification plan. Resident classification criteria for living unit assignment must include consideration of at least the following factors: age, developmental level, gender, physical aggressiveness, delinquent sophistication, and abscond risk. The classification plan must be reviewed and approved by the commissioner of corrections.
Subp. 2. Separation of residents by gender.
There must be complete separation of living and sanitation facilities to the extent necessary to ensure a resident's privacy from residents of the opposite gender. Gender-appropriate program services must be provided to male and female residents separately when possible.
Subp. 3. Residents who may have sexually abusive behaviors.
The license holder must take special precautions when a resident is considered likely to have sexually abusive behavior. The license holder must screen the resident to determine which precautions may be appropriate, give the resident an individual sleeping room, and direct staff to pay special attention to the resident's interactions with others. The license holder's care for a resident likely to have sexually abusive behavior must protect the resident, other residents, staff, and the community. The license holder must consider the vulnerability of other residents in the facility.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0270 Facility Operation Services, Policies, and Practices
Subpart 1. Administrative structure.
The license holder must designate a single administrator of the facility, and in that person's absence, a staff person must be designated as being in charge. Upon request, the license holder must provide the names and addresses of the owners, board members, or controlling individual, and an organizational chart depicting organizational authority over the program to the commissioner of corrections.
Subp. 2. Policies and procedures manual.
License holders must have a policy and procedures manual reviewed by the commissioner of corrections that is readily available to staff. The policy manual must contain policies and procedures for all aspects of the facility's operation. The license holder must ensure that the policies and procedures in the manual safeguard residents' rights and require the provision of basic services to residents.
Subp. 3. Posting of medical, dental, and emergency resources.
A list of medical, dental, and emergency resources must be posted at each staff station in the facility. The list must include the emergency resources' telephone numbers and hours that each resource is available.
Subp. 4. Medical services.
A. A facility must provide space, staff, and a procedure for daily sick call to ensure residents the opportunity to report illness and injury and receive appropriate medical services for illness or injury.
B. A resident must be examined by a medically licensed person within a reasonable time if the resident is visibly ill, chronically ill, or whenever it is suspected that medical attention is necessary. A resident must receive emergency mental health and dental care when needed.
C. If medical services are delivered in the facility or through contract services, adequate space, equipment, supplies, and materials, as determined by the responsible physician, must be provided to deliver primary health care.
D. Staff responsible for the supervision, safety, and well-being of residents must be trained in emergency first aid procedures. At least one person per shift must have training in receiving, screening, basic life support, cardiopulmonary resuscitation, and recognition of symptoms of the illnesses most common to the residents detained in the facility.
E. A facility must have at least one first aid kit located at the facility's control center or primary staff station. The first aid kit must be inspected by a designated staff person regularly to assess the adequacy of first aid supplies. The kit must be adequate to meet the needs of residents and staff.
F. The license holder, in consultation with a medically licensed person, must develop plans and establish procedures and accessories for the secure storage, delivery, supervision, and control of medications and medical supplies in the facility.
Subp. 5. Visitation.
A license holder must have a written visitation plan. The plan must include at least the requirements in items A to D.
A. A resident may visit, at reasonable times of the day, with parents, relatives, or other adults who were responsible for the resident's care before the resident was admitted to the facility, unless the license holder has convincing evidence that such a visit would not be in the best interest or welfare of the resident.
B. The facility administrator must set a facility-wide visiting policy regarding visitors, other than those described in item A. Visitors may be monitored, but notice of monitoring must be posted in the visiting area. The administrator may limit visits by persons other than those described in item A to scheduled visiting hours. Scheduled visiting hours must include mornings, evenings, weekdays, and weekends. A minimum of eight scheduled hours per week must be maintained for visiting.
C. Visits by an attorney, probation officer, case worker, or religious or spiritual counselor are allowed and must be permitted to take place in private.
D. The license holder must request visitors to register upon arrival at the facility; give their name, address, and relationship to the resident; and produce a reliable form of identification. If a visit is denied, the resident and visitor must be given the reason for denial and the reason must be documented in the resident's file.
Subp. 6. Safety-based separation.
A. A license holder must have a written plan for safety-based separation according to this subpart.
B. The license holder must post and explain the resident rules of conduct, consequences for negative behavior, and incentives for positive behavior to a resident in a way and in a language that the resident can understand.
C. Rooms for safety-based separation must have the minimum furnishings and space specified in the Department of Corrections construction standards under chapter 2900.
D. When a resident persists in destroying clothing or bedding, or harms the resident's self with the clothing or bedding while in safety-based separation, staff may deprive the resident of clothing and bedding. The decision to deprive a resident of clothing and bedding must be:
E. It is prohibited to delegate authority to a resident or group of residents to punish another resident or group of residents.
F. A resident must not be deprived of materials necessary to maintain an acceptable level of personal hygiene while in safety-based separation.
Subp. 7. Education program.
The license holder must provide education programs and services to a resident that are consistent with Department of Education rules and statutory requirements governing education of a resident. If the license holder suspects that a resident has a disability, and educational evaluation must be conducted according to applicable rules to determine if the resident has a disability. The license holder must ensure that the appropriate evaluation is completed and must assist a student who has disabilities and needs special education and related services to obtain those services.
Subp. 8. Exercise and recreation.
The license holder must implement a plan that provides opportunities for physical exercise and recreational activities for residents. At a minimum, the plan must provide for and include:
A. regulations that are reasonable and necessary to protect the facility's security and the residents' welfare;
B. provisions for a minimum of two hours of daily preplanned exercise or activities supervised and directed by trained staff and recreational activities and leisure time activities, excluding time spent watching television;
C. provisions for indoor space and equipment for active recreation; and
D. provisions for outdoor recreational space, equipment, and support staff for outdoor recreational program services, except that this item does not apply to eight-day and 24-hour temporary holdover facilities.
Subp. 9. Correspondence and telephone.
The license holder must implement a plan for handling resident mail and resident telephone use that is consistent with established legal rights of juveniles and reasonable and necessary facility regulations to protect the facility's security.
Subp. 10. Juvenile clothing, bedding, and laundry services.
The license holder must meet the requirements of items A to C.
A. A resident must have neat, clean clothing that is appropriate for the season. The license holder must provide the resident with clothing if the resident does not have clothing.
B. The facility administrator or person in charge may consider it necessary to remove clothing or bedding from a resident if the resident's behavior threatens the safety or security of the resident or others in the facility. Facility staff must take all reasonable steps to ensure the safety and security of the resident and others and the security of the facility without success, prior to removing the resident's clothing or bedding. If bedding or clothing is removed from a resident, a critical incident report must be completed and kept on file at the facility for two licensing periods.
C. Laundry services must meet the resident's clothing, linen, and bedding needs.
Subp. 11. Emergencies.
The license holder must develop a written emergency plan with procedures for the protection and evacuation of all persons in the case of fire, explosion, flood, tornado, or other emergencies. In addition, the emergency plan must provide for immediate and effective action in the event of hostage incidents, escape and escape attempts, suicide and attempted suicide, any illness or accident considered an emergency, power failure, major resident disturbances, assaults, and outbreaks or epidemics of contagious disease.
Subp. 12. Reporting critical incidents.
Critical incidents of an unusual or serious nature that involve, or endanger the lives or safety of, facility staff or residents must be reported to the commissioner of corrections within ten days on a form supplied by the commissioner of corrections.
Subp. 13. General requirements for food service.
Food service must meet the requirements of items A to F.
A. The goals of food service in a facility must be to provide food and beverages to residents that are nutritionally adequate, palatable, produced in a manner to prevent food-borne illness, of adequate quantity and variety, served at appropriate temperatures, and prepared by methods which conserve nutritional value.
B. Any food service provided in a detention facility must follow the requirements of chapter 4626.
C. When food is catered into the facility, it must be obtained from a source licensed by the Department of Health.
D. A facility housing a resident in need of a medically prescribed therapeutic diet must document that the diet is provided as ordered by the resident's physician.
E. If a resident's religious or spiritual beliefs require adherence to dietary customs, the license holder must make efforts to provide the special diet. If the license holder is unable to meet a resident's religious or spiritual dietary customs, the license holder must document why the resident's dietary customs could not be met.
F. Food must be covered during transport through nondietary areas, but need not be covered when served in a dining area which is contiguous to the food preparation area. The food service system must be capable of maintaining hot foods at 150 degrees Fahrenheit or higher and maintaining cold foods at 40 degrees Fahrenheit or lower. A dumbwaiter or conveyor that has a cab or carrier used for the transport of soiled linen or soiled dishes must not be used for the transport of food.
Subp. 14. Housekeeping, sanitation, and plant maintenance.
The license holder must meet the requirements of items A to C.
A. The facility and all buildings, structures, or enclosures used by the facility, including walls, floors, ceilings, registers, fixtures, equipment, and furnishings, must be kept in good repair and maintained to protect the health, comfort, safety, and well-being of residents and staff.
B. The license holder must have and implement a written plan to inspect and document daily housekeeping, sanitation, and plant maintenance needs in the occupied parts of the facility.
C. The license holder, in cooperation with the facility's governing body, must develop plans, policies, and procedures to detect and correct building and equipment deterioration, safety hazards, and unsanitary conditions in the early stages of their development and provide for their repair, correction, or modification.
Subp. 15. Physical plant and environment.
The license holder must meet the requirements of this subpart.
A. Building features, space for programs, equipment, and materials must be consistent with the facility's statement of intended use and program objectives. The facility's physical plant features must comply with chapter 2900.
B. The license holder must ask the local health authority and fire marshal to inspect the facility annually for health, sanitation, and fire safety conditions.
C. The Department of Corrections must review and approve all new construction and renovation of detention facilities. The license holder must meet the requirements of chapter 2900 governing the construction of new corrections facilities.
D. A nonsecure 24-hour temporary holdover facility must:
E. A secure 24-hour temporary holdover facility must:
F. A secure or nonsecure eight-day temporary holdover facility must meet the requirements of subitems (1) to (12).
Subp. 16. Information reporting required.
The license holder must report information and statistics about program services, outcomes, and data about residents in the license holder's facility to the commissioner of corrections according to Minnesota Statutes, section 241.021, subdivision 1, paragraph (a).
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0280 New Construction Standards
A new juvenile detention facility must meet the minimum physical plant construction standards of chapter 2900.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0290 Physical Plant and Equipment Codes
Subpart 1. Equipment codes.
The facility's food service, plumbing, ventilation, heating, cooling, lighting, elevators, and other fixtures and equipment must conform to health, sanitation, and safety codes and regulations.
Subp. 2. Safety reports maintained.
The facility must maintain in its file the reports of insurance, inspections, Occupational Safety and Health Administration reports, incident reports, and reports of health, fire, and other safety inspections.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0300 Purpose and Applicability
Subpart 1. Purpose.
Parts 2960.0300 to 2960.0420 establish the minimum certification standards that licensed settings must meet for certification as a secure program.
Subp. 2. Applicability.
Parts 2960.0300 to 2960.0420 govern a license holder who wishes to operate a secure program. Parts 2960.0300 to 2960.0420 do not apply to a locked group residential facility certified to provide treatment to residents with severe emotional disturbance certified under parts 2960.0580 to 2960.0700.
Subp. 3. License requirements.
A program certified under parts 2960.0300 to 2960.0420 must meet the requirements of parts 2960.0010 to 2960.0120 and be licensed as a group residential setting according to parts 2960.0130 to 2960.0220 or as a detention setting according to parts 2960.0230 to 2960.0290.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0310 Statement of Program Objectives
The license holder must prepare a written statement of measurable secure program goals and outcomes. The goals and outcomes must be developed with the input of local juvenile justice personnel including judges, probation officers, case managers, social workers, and other persons considered appropriate by the license holder.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0320 Program Services Standards
A secure program service must meet the needs of the resident served by the program, based on the resident's offense history, age, gender, disability, cultural and ethnic heritage, mental health and chemical dependency problems, and other characteristics. Services offered must include at least items A and B:
A. intensive regular and special educational programs, with an individual educational plan for each resident who has a disability and needs special education and related services; and
B. specific educational components that meet the resident's program services needs for the management of anger, nonviolent conflict resolution, mental health, and other program services needs, such as physical abuse, cultural and ethnic heritage, gender, parenting education, and program services to educate sex offenders about sexuality and address issues specific to victims and perpetrators of sexual abuse.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0330 Admission and Continued Stay
Subpart 1. Placement authorized by statute or court order.
A resident may not be placed in a secure facility unless the placement meets the statutory criteria or is approved by the juvenile court.
Subp. 2. Admission documentation.
No resident may be received by a license holder until the referring agency has produced proper credentials and the placement person signs the placement person's name and title on a form identifying the purpose for placement that will be part of the intake record.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0340 Security Standards
Subpart 1. Supervision of nonemployee service personnel.
A person working at the facility, who is not employed by the facility, must be under the general supervision of facility staff, unless that person has been trained in the facility's policies and procedures. No contact by such persons with residents is permitted.
Subp. 2. Extra duty.
No employee may be scheduled for duty for two consecutive work periods except in a documented emergency, or when unusual circumstances require reasonable and prudent exception. No employee may work more than 16 hours in each 24-hour period.
Subp. 3. Continuing need reviewed.
Policies and procedures must be established that include time lines for the review of individual cases to determine the need for continued secure placement. There must be written criteria addressing circumstances under which a resident must be moved to less restrictive parts of the facility if appropriate. When a license holder moves a resident from a secure to a nonsecure space in a facility for programming purposes, the license holder must notify the appropriate juvenile court.
Subp. 4. Plans for group arrest.
A secure facility providing correctional program services must have written plans governing space arrangements and procedures to follow in the event of a group arrest that exceeds the maximum capacity of the facility. These plans must be reviewed at least annually and updated.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0350 Discharge
Subpart 1. Discharge criteria.
The facility must have written discharge criteria that allow discharge according to items A and B, except that detention facilities are exempt from preparing written criteria in item A and must prepare criteria in item C:
A. completion of the resident's facility treatment plan;
B. the resident is ordered to a different placement by the court; or
C. the legal authority to hold the resident expires.
Subp. 2. Return of property.
When a resident is discharged, the resident's property must be returned to the resident with a receipt, signed by the license holder, listing the property returned, unless the property is held for authorized investigation or litigation.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0360 Security Policies and Procedures
Subpart 1. Content of policies and procedures.
A license holder that offers correctional program services must develop security policies and procedures on the following:
A. control and recovery of contraband;
B. delivery and service procedures;
C. prohibition of firearms and other weapons in resident areas and measures to ensure that weapons are inaccessible to residents;
D. search procedures, including strip searches and resident-assisted searches;
E. escort of residents outside the secured area; and
F. when residents are not under direct supervision, conducting well-being checks at least once every 30 minutes, as direct supervision and well-being checks are defined under part 2960.0720, subpart 3.
Subp. 2. Inspection of facility and deliveries to facility.
The facility must be regularly inspected for contraband, evidence of breaches in security, and inoperable security equipment. Materials delivered to or transported from the facility must be inspected for contraband prior to distribution.
Subp. 3. Chemical irritant use.
A. The license holder must have written policies approved by the licensing agency governing the use of chemical irritants and related chemicals.
B. The use of chemical irritants is permitted only in secure facilities with correctional program services.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0370 Locks and Keys
Subpart 1. Storage.
A. The license holder must ensure that when not in use, keys to security locks are properly tagged and stored in a secure cabinet within a secure area, out of reach of residents or the public. At least one complete set of facility keys must be kept on hand for replacement purposes.
B. The license holder must ensure that keys that serve a critical security purpose must be easily identifiable and never issued except upon order of the facility administrator or person in charge, and according to established procedure. No security keys shall be made available to residents.
Subp. 2. Inspection.
The license holder must ensure that:
A. all locks to security doors or gates are inspected daily to ensure their efficient operation and the inspections are documented;
B. no lock to a security door or gate is broken, inoperable, or left in an unsuitable condition for any unnecessary period of time; and
C. no residents are placed in a secure room or area that has inoperable locks.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0380 Dangerous Materials and Hazardous Substances
Subpart 1. Dangerous materials.
Materials that can be deleterious to security, safety, and health must be properly secured, inventoried, and dispensed.
Subp. 2. Tools.
When not in use, tools must be kept in locked storage areas. Security precautions must be developed and implemented regarding any tools entering or leaving the facility.
Subp. 3. Hazardous substances.
A hazardous substance must not be stored in living areas. A cleaning substance that is hazardous must be handled only by staff or residents under direct staff supervision.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0390 Count Procedure
Subpart 1. Written statement.
A facility must have a written statement specifying the system used to regularly count the number of residents in the facility.
Subp. 2. Frequency of counts.
There must be a resident count at least once each eight hours.
Subp. 3. Master count board.
A system for counting must include procedures that account for the total number of residents at any given time. Changes in the number of residents must be documented and reported immediately.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0400 Hospitalization of Residents
When a resident requires hospitalization, the resident must be supervised on a 24-hour-a-day basis unless the conditions in items A and B have been satisfied:
A. the facility administrator has determined that the resident does not need custody supervision; or
B. the resident is incapacitated in the opinion of the attending physician.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0410 Restrictive Procedures and Searches
Subpart 1. Restrictive procedures.
Detention facilities that want to use restrictive procedures may use restrictive procedures according to the program's statement of intended use if the license holder is certified to use restrictive procedures according to parts 2960.0710 to 2960.0750.
Subp. 2. Strip searches and resident-assisted searches.
A. Each strip search must be conducted according to part 2960.0240, subpart 6; and Minnesota Statutes, section 241.0215, subdivision 3. Internal body searches of the anus or genitalia are prohibited.
B. Before a staff member may conduct a strip search or resident-assisted search, the staff member must receive training on trauma-informed techniques according to part 2960.0240, subpart 5.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0420 Secure Physical Plant Standards
New secure juvenile facility construction plans must be reviewed and approved by the Department of Corrections.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0430 Purpose
Subpart 1. Purpose.
Parts 2960.0430 to 2960.0490 establish the minimum standards that residential treatment programs serving residents with substance use disorder must meet to qualify for certification.
Subp. 2. Outcome.
Compliance with parts 2960.0430 to 2960.0490 requires that services:
A. are provided as specified in an individual treatment plan;
B. are developed with assistance from the resident's family or legal representative in deciding what services are needed and how they are provided;
C. support the resident in gaining the skills necessary to return to the community;
D. support the family in gaining the skills necessary to care for the returning resident; and
E. are provided by qualified staff under the supervision of a licensed alcohol and drug counselor.
Subp. 3. License requirements.
A program certified under parts 2960.0430 to 2960.0490 must meet the requirements of parts 2960.0010 to 2960.0120 and be licensed as a group residential setting according to parts 2960.0130 to 2960.0220.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 28 SR 211; 32 SR 2268
Minn. R. 2960.0440 Applicability
Parts 2960.0430 to 2960.0490 apply to residential programs according to items A and B.
A. A residential program licensed under parts 2960.0010 to 2960.0220 to provide services that address the substance use disorder for persons who are under 19 years of age must be certified under parts 2960.0430 to 2960.0490.
B. A residential program that addresses the substance use disorder of a person older than 15 years of age, and under 21 years of age must either be licensed under parts 2960.0010 to 2960.0220 and certified under parts 2960.0430 to 2960.0490 or be licensed under Minnesota Statutes, chapter 245G.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 28 SR 211; 32 SR 2268
Minn. R. 2960.0450 Chemical Dependency Treatment Services
Subpart 1. Description.
Chemical dependency treatment services are services provided by a professional to alter the resident's pattern of chemical use by helping the resident recognize the harmful effects of chemicals on the resident and others, to develop the skills necessary to avoid inappropriate and harmful chemical use, and to identify alternative methods of meeting the needs previously met by chemical use.
Subp. 2. Required services.
A certificate holder must provide each resident at least 15 hours each week of the type and amount of services specified in each resident's individual treatment plan. The certificate holder must provide the services in items A to D, unless the service is determined to be contrary to the resident's treatment plan by a licensed alcohol and drug counselor. Self-help groups must not be counted in the number of hours of service a program provides. The program must provide:
A. a comprehensive resident evaluation that consists of a compilation of information from the resident, the resident's family, the referral source, and others and meets the requirements for an assessment in parts 2960.0070, subpart 5, items A and B, and 2960.0160, subpart 2, item E;
B. individual and group counseling to help the resident identify and address problems related to chemical use and develop strategies for avoiding inappropriate chemical use after treatment;
C. resident information concerning chemical health awareness, sexuality, health problems related to chemical use, and the necessary changes in lifestyle to regain and maintain health. Resident education must include information concerning the human immunodeficiency virus according to Minnesota Statutes, section 245A.19, and tobacco addiction and cessation resources; and
D. therapeutic recreation to provide the resident with an opportunity to participate in recreational activities without the use of mood-altering chemicals and learn to plan and select recreation activities that do not involve the inappropriate use of chemicals. Therapeutic recreation must be led by, directed by, or provided according to a plan developed by staff who are qualified according to subpart 4.
Subp. 3. Additional chemical dependency treatment services.
A certificate holder may provide or arrange for the provision of additional chemical dependency treatment in this subpart as indicated in the resident's individual treatment plan.
A. The program may provide family counseling to assist the resident in identifying the impact of inappropriate chemical use on others and to assist the resident and those closest to the resident in identifying and changing behaviors that contribute to inappropriate chemical use. Family counseling must be provided by a family therapist.
B. The program may provide health monitoring, stress management, and physical well-being training by a medically licensed person or under the supervision of a medically licensed person to assist the resident in reaching and maintaining an acceptable level of health, physical fitness, and well-being.
C. The program may provide living skills development to assist the resident in learning basic skills necessary for living in the larger community, including:
Subp. 4. Counselors to provide chemical dependency treatment services.
Chemical dependency treatment services must be provided by qualified alcohol and drug counselors, who are qualified to provide the service according to part 2960.0460, subparts 5 and 6a, unless the individual is specifically qualified according to the applicable standards of that profession.
Subp. 5. Volunteers.
A volunteer may provide chemical dependency treatment services if under the direct supervision of the license holder or a qualified staff person. A volunteer who has direct contact with residents is subject to a background check if the contact with a resident is not directly supervised by the license holder or staff. The program must provide a volunteer an orientation to the program, its purpose, and the population served.
Subp. 6. Location of service provision.
The chemical dependency treatment services required in subpart 2 must be provided at the address stated on the certificate. Additionally, at least one-half of all of the required hours of service that a resident receives must be provided at the address on the certificate.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 28 SR 211; 32 SR 2268
Minn. R. 2960.0460 Staff Qualifications
Subpart 1. Staff qualifications.
The qualifications in this part are in addition to the qualifications required under part 2960.0100, subpart 6.
Subp. 2.
[Repealed, L 2022 c 98 art 12 s 21]
Subp. 3. Program director qualifications.
The program director must know and understand the implications of parts 2960.0010 to 2960.0710 and Minnesota Statutes, chapter 260E and section 626.557.
Subp. 4. Alcohol and drug counselor supervisor qualifications.
The personnel file of an alcohol and drug counselor supervisor must include documentation that the individual meets the criteria in items A to C.
A. The individual is competent in the areas in subpart 6, and the competency is documented according to subpart 7.
B. The individual has three or more years of experience providing individual and group counseling to chemically dependent residents.
C. The individual knows and understands the implications of parts 2960.0010 to 2960.0710 and Minnesota Statutes, chapter 260E and section 626.557.
Subp. 5. Alcohol and drug counselor qualifications.
The personnel file of an alcohol and drug counselor must include:
A. documentation that the individual is either licensed or exempt from licensure under Minnesota Statutes, chapter 148F;
B. documentation that the individual has had an additional 30 hours of classroom instruction in adolescent development; and
C. documentation that the individual has had at least 150 hours of supervised experience as an adolescent alcohol and drug counselor, either as a student or as an employee.
Subp. 6.
[Repealed, 32 SR 2268]
Subp. 6a. Individuals with temporary permit.
An individual with a temporary permit from the Board of Behavioral Health and Therapy may provide chemical dependency treatment services according to the conditions in either item A or B.
A. The individual is supervised by a licensed alcohol and drug counselor assigned by the license holder. The licensed alcohol and drug counselor must document the amount and type of supervision at least weekly. The supervision must relate to clinical practices. One licensed alcohol and drug counselor may not supervise more than three individuals.
B. The individual is supervised by a clinical supervisor approved by the Board of Behavioral Health and Therapy. The supervision must be documented and meet the requirements of Minnesota Statutes, section 148F.04, subdivision 4.
Subp. 7. Individuals exempt from licensure.
For an alcohol and drug counselor exempt from licensure under Minnesota Statutes, chapter 148F, the department must consider a counselor qualified according to subpart 5, item A, if:
A. the individual has at least a baccalaureate degree including 480 hours of alcohol and drug education in which each of the core functions in Minnesota Statutes, chapter 148F, is covered; and has successfully completed 880 hours of supervised experience as an alcohol and drug counselor, either as a student or as an employee;
B. the individual has documented the successful completion of 270 clock hours of alcohol and drug counselor training, 60 hours of which have occurred within the last five years, including completion of 880 hours of supervised experience as an alcohol and drug counselor, either as a student or as an employee. The training must cover the core functions in Minnesota Statutes, chapter 148F; or
C. the individual is certified as a chemical dependency counselor or as a chemical dependency counselor reciprocal, through the evaluation process established by the Certification Reciprocity Consortium Alcohol and Other Drug Abuse, Inc., and published in the Case Presentation Method Trainers Manual, copyright 1993. This manual is incorporated by reference. It is available at the State Law Library, 25 Rev. Dr. Martin Luther King Jr. Blvd., Saint Paul, MN 55155. It is not subject to frequent change.
Subp. 8. Overnight staff.
The personnel file of overnight staff employed by a residential program must include documentation of the individual's competency in the areas in items A to D:
A. knowledge of resident rights and staff responsibilities as outlined in parts 2960.0050 and 2960.0150;
B. knowledge of and ability to perform basic first aid procedures, including cardiopulmonary resuscitation and first aid for seizures, trauma, and fainting;
C. crisis intervention techniques consistent with the program's protective procedures plan; and
D. ability to notify the off-site, on-call supervisor regarding any unusual resident occurrences. Overnight staff may not admit, transfer, or discharge residents, but may serve as the person in charge of the facility required in part 2960.0150, subpart 3, item B.
Subp. 9. Student interns.
A qualified staff person must supervise and be responsible for all treatment services performed by student interns and must review and sign all assessments, progress notes, and treatment plans prepared by an intern. Student interns must receive the orientation and training required for permanent staff members.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04; L 1995 c 226 art 3 s 60; L 2022 c 98 art 12 s 20
- History: 28 SR 211; 32 SR 2268; 47 SR 741
Minn. R. 2960.0470 Staffing Requirements
Subpart 1. Program director required.
Each certificate holder must have a program director. The program director must be under contract or employed full time by the license holder.
Subp. 2. Alcohol and drug counselor supervisor requirements.
A rehabilitation program must employ an alcohol and drug counselor supervisor who meets the requirements of part 2960.0460, subpart 4. An individual may be simultaneously employed as the program director, an alcohol and drug counselor supervisor, and a licensed alcohol and drug counselor if the individual meets the qualifications for each position. If a licensed alcohol and drug counselor is simultaneously an alcohol and drug counselor supervisor or program director, that individual must be considered a 0.5 full-time equivalent licensed alcohol and drug counselor for purposes of meeting the staffing requirements under subpart 3.
Subp. 3. Staffing requirements.
If a chemical dependency treatment service is being provided, the group size must not exceed ten residents per qualified alcohol and drug counselor present. A license holder serving adolescents must have at least one alcohol and drug counselor for each ten or fewer adolescent residents who are chemically abusive or dependent.
Subp. 4. Staff drug and alcohol policies.
The license holder must have written personnel policies that describe the process for disciplinary action, suspension, or dismissal of a staff person for violating the drug and alcohol policy described in part 2960.0030, subpart 9, and Minnesota Statutes, section 245A.04, subdivision 1, paragraph (c).
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2022 c 98 art 12 s 20
- History: 28 SR 211; 47 SR 741
Minn. R. 2960.0480 Admission and Discharge Policies
Subpart 1. Admission policy.
The certificate holder must not admit individuals who do not meet the admission criteria in the certificate holder's admission policy. The admission policy must also designate which staff are authorized to admit and discharge residents.
Subp. 2. Individuals not served by program.
A certificate holder has specific responsibilities when denying admission to individuals for reasons of health, behavior, or criminal activity. The certificate holder must have a policy that includes items A and B.
A. The certificate holder must have a protocol for addressing the needs of individuals in need of emergency medical care not provided by the program and individuals who pose a substantial likelihood of harm to themselves or others, if the behavior is beyond the behavior management capabilities of the program and staff. All denials of admission for these reasons that involve a bona fide medical emergency, as provided under Code of Federal Regulations, title 42, section 2.51, must be referred to a medical facility capable of admitting the individual.
B. All denials of admission that involve the commission of a crime against a license holder's property, as provided under Code of Federal Regulations, title 42, section 2.12(c)(5), must be reported to a law enforcement agency with proper jurisdiction.
Subp. 3. Discharge policies.
A certificate holder must have a written policy that must be followed when a resident is discharged. A client must be discharged by a counselor or the program director. The policy must establish procedures that:
A. are consistent with Minnesota Statutes, section 253B.16, subdivision 2, and that staff must follow when a resident who has been admitted under Minnesota Statutes, chapter 253B, is to be discharged; and
B. staff must follow when a resident leaves against staff or medical advice and when the resident may be dangerous to self or others.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0485 Initial Services Plan
An initial services plan must be completed during or immediately following the intake interview, covering the time between the intake interview and the completion of the treatment plan. It must address immediate health and safety concerns, suggestions for the client during the time between intake and first treatment session, and what issues are to be addressed in the first treatment sessions. If the resident is at least 18 years old, the initial services plan must include an individual abuse prevention plan according to Minnesota Statutes, sections 245A.65, subdivision 2, paragraph (b), and 626.557, subdivision 14, paragraph (b).
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 32 SR 2268
Minn. R. 2960.0490 Individual Treatment Plan
Subpart 1. Treatment plan required.
The certificate holder must meet the treatment plan requirements of subparts 2 and 3. These treatment plan requirements may be substituted for the requirements of part 2960.0180, subpart 2, item B, if chemical dependency is the only certificate the license holder has been issued. The individual treatment plan may be a continuation of the initial services plan required in part 2960.0485.
Subp. 2. Plan must reflect resident's current condition.
An individual treatment plan for a resident in a certified chemical dependency program must continually evolve based on new information gathered about the resident's condition and whether planned treatment interventions have had the intended effect. The plan must provide for the involvement of the resident's family at the earliest opportunity consistent with the resident's treatment needs. The plan begins on completion of the comprehensive assessment and is subject to amendment until the resident is discharged.
The resident must have an opportunity to have active, direct involvement in selecting the anticipated outcomes of the treatment process and in developing the individual treatment plan. The individual treatment plan must be signed by the resident and a licensed alcohol and drug counselor, and the participation of others must be noted in the plan. The individual treatment plan and documentation related to it must be kept at the facility in the resident's case file and also sent to other professionals as indicated within designated time lines.
Subp. 2a. Plan format.
An individual treatment plan must be recorded in the six dimensions listed below:
A. acute intoxication and withdrawal potential;
B. biomedical conditions and complications;
C. emotional, behavioral, and cognitive conditions and complications;
D. readiness to change;
E. relapse, continued use, and continued problem potential; and
F. recovery environment.
Subp. 3. Plan contents.
An individual treatment plan must include:
A. resources to which the resident is being referred for problems to be addressed concurrently outside the program and why the referral was made;
B. treatment goals in each of the dimensions listed in subpart 2a in which a problem has been identified;
C. specific objectives to be used to address the problems in item B, including frequency of intervention, and expected outcomes for each goal. The certificate holder must tell the resident about the objectives in the resident's individual treatment plan in a language that the resident understands. The certificate holder must consider the resident's cultural background and other strengths and assets when determining the resident's objectives. The resident's objectives must be stated in the treatment plan and must be individualized, time limited, and measurable;
D. specific intervals at which resident progress must be reviewed;
E. minimum outcomes that are to be met before the resident is discharged; and
F. an initial risk description in each dimension, according to part 9530.6622.
Subp. 4. Progress notes.
Progress notes must be entered in a resident's file at least daily and must indicate the type and amount of each service the resident has received weekly and whether the services have had the desired impact. All entries in resident records must be legible, signed by staff, with title indicated, and dated.
Subp. 5. Plan reviews.
The individual treatment plan must be reviewed by an alcohol and drug counselor at the intervals identified in subpart 3, item D, and no less frequently than every two weeks, and the specific services changed if expected goals are not being achieved. Plan reviews must be recorded in the six dimensions listed in subpart 2a and include, for each dimension, a narrative and a risk description according to part 9530.6622. A resident must be notified of the right to access a plan review.
Subp. 5a. Combined plan reviews and progress notes.
Progress notes may be considered plan reviews if they meet the requirements of subparts 4 and 5.
Subp. 6. Client records.
Client records must be maintained and information released from them only according to Code of Federal Regulations, title 42, subchapter A, sections 2.1 and 2.2.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 28 SR 211; 32 SR 2268
Minn. R. 2960.0500 Transitional Services Certification
Subpart 1. Purpose.
This part establishes the minimum standards that a transitional services program must meet to qualify for certification. A transitional services program provides congregate, scattered site, or cooperative housing for residents considered to be targeted youth.
Subp. 2. Applicability.
This part governs a license holder who provides transitional services to residents.
Subp. 3. License requirements.
A program certified under this part must meet the requirements of parts 2960.0010 to 2960.0120, except as noted in subpart 4.
Subp. 4. Exemptions.
A transitional services program is exempt from the requirements of parts 2960.0070, subparts 4 and 5; 2960.0080, subparts 3, 4, items C to E, 5, 6, 8 to 13, and 15; 2960.0090, subpart 3; 2960.0120, subpart 2, items A, C, and G; and 2960.0130 to 2960.0220.
Subp. 5. Description.
A transitional services program serves residents 16 to 21 years old according to the resident's independent living plan. Transitional services program services include housing, independent living skills training, and related supportive services. A transitional services program is designed to prepare a resident to live independently or reintegrate to a community setting following a stay in transitional housing. A resident may be housed in a community setting that includes individual or shared apartments, rental rooms, or other rental housing or in a congregate living program.
Subp. 6. Statement of program outcomes.
The license holder must have written policies that identify program outcomes and promote the resident's development of independent living skills. The program services offered by the license holder must support the resident's reintegration into the community and be consistent with the resident's independent living plan.
Subp. 7. Outcome measures.
The license holder must measure, at least quarterly, the outcomes of services provided to the resident by the license holder that were intended to promote the resident's development of independent living skills. The license holder must document the measurement of outcomes. The documentation must note:
A. whether the provided services promoted the development of independent living skills;
B. the extent to which the resident has developed independent living skills; and
C. the license holder's success in achievement of the program outcomes identified according to subpart 6. The commissioner of human services may require the license holder to measure specific factors related to the outcomes identified in subpart 6, and gather demographic information on residents.
Subp. 8. Program effectiveness.
The license holder must monitor and annually evaluate the effectiveness of the facility's programs. The license holder must evaluate resident satisfaction with individual program services. The license holder must use the information gathered from the evaluations and program monitoring as a guide to improve program services.
Subp. 9. Community involvement.
The facility must have a board of directors or advisory committee that represents the interests, concerns, and needs of the residents and community served by the facility. The license holder must meet the requirements of subparts 6 to 9 instead of the requirements of part 2960.0060.
Subp. 10. Admission.
The license holder may admit persons to a transitional services program who are eligible for admission and meet the criteria in this subpart. The license holder must determine whether a resident meets the criteria in item A, B, or C, and part 2960.0070, subpart 2, prior to admission. The license holder must determine that:
A. the resident must be leaving out-of-home placement, homeless, or at risk of homelessness;
B. the resident must be employed or seeking employment or enrolled in an academic or vocational program; and
C. youth who have the following behaviors will not be admitted to the program:
Subp. 11. Criteria for termination of services.
The license holder, in conjunction with the resident, shall establish a service termination plan for the resident that specifies how services will be terminated and the actions to be performed by the involved agencies, including necessary referrals for other ongoing services.
Subp. 12. Supervision standards.
The license holder must provide supervision according to items A to C.
A. For a resident living in congregate or cooperative housing arrangements, the license holder must provide at least 12 hours of on-site supervision during weekday evening and early morning hours, to be increased to 16 hours of supervision on weekends.
B. For a resident served by the transitional services program, the license holder must designate an on-call staff person who must be at least available by telephone or pager to respond to requests for assistance from a resident during hours when a staff person is not on site. A resident must be seen by a staff person at least three times per week. Each site where a resident resides must be visited by a staff person at least three times per week.
C. The license holder must develop a supervision plan that is based on the youth served and approved by the licensing agency. Depending upon the assessment of the youth served by the program, the commissioner of human services may require the license holder to provide 24-hour supervision of residents.
Subp. 13. Services required.
The license holder must provide the services or adequate access to the services in this subpart. The following services must be consistent with the resident's independent living plan:
A. counseling services, to help individual residents and their families;
B. job services, to help residents prepare for or secure employment;
C. living skills training, to help a resident prepare for independent living;
D. education services, to assist a resident to enroll in academic programs if the resident is not currently enrolled in a program; and
E. related supportive services such as assistance in locating housing, budgeting, meal preparation, or other services, to meet the needs of the resident and improve the resident's ability to live independently.
Subp. 14. Custodial minor parent programs.
In addition to the services in subpart 13, the following services or access to the following services must be available from the license holder for custodial parents:
A. training in child development and parenting skills; and
B. child care services or access to child care services when custodial parents are in school, at work, or otherwise unable to care for their children.
Subp. 15. Residence.
The place of residence provided to a resident by the license holder must meet the needs of residents, including residents with disabilities.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211; L 2003 1Sp14 art 11 s 11
Minn. R. 2960.0510 Purpose and Applicability
Subpart 1. Purpose.
Parts 2960.0510 to 2960.0530 establish additional minimum standards that a facility providing shelter care services must meet to qualify for certification.
Subp. 2. Applicability.
Parts 2960.0510 to 2960.0530 apply to a unit of government, individual, corporation, limited liability corporation, partnership, voluntary association, other organization, entity, or controlling individual that operates a facility that provides shelter care services to a resident on a 24-hour-a-day basis. Parts 2960.0510 to 2960.0530 do not apply to foster care settings licensed according to parts 2960.3000 to 2960.3340.
Subp. 3. License requirements.
Programs certified under this part must meet the requirements of parts 2960.0010 to 2960.0120.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0520 Services
Subpart 1. General requirements.
A facility that is certified to provide shelter services must meet the requirements of parts 2960.0010 to 2960.0120.
Subp. 2. Shelter programs.
A shelter program must offer the additional services in items A to C.
A. Instead of the requirements in part 2960.0070, subpart 5, the license holder must:
B. Instead of the requirements in part 2960.0070, subpart 5, item A, subitem (1), the license holder must, within 24 hours of admitting a resident to shelter services, arrange for a qualified professional according to this item to conduct a basic health screening to determine if a resident needs a physical or dental examination by a medically licensed person. If the need for an examination is determined, the license holder must notify the resident's case manager of the need to make an appointment with a medically licensed person to complete the required examination and document notification of the case manager. A qualified professional is:
C. If a resident remains in a shelter for more than ten days, the license holder must follow the discharge requirements of part 2960.0190, subparts 1, item A; and 2, and must note the name and address of the party the resident was released to following discharge.
Subp. 3. Plan for immediate needs.
Within 24 hours of admitting a resident, the license holder must develop a plan for meeting the resident's immediate needs. The plan for meeting the immediate needs of a resident in this subpart may be used in lieu of the individual treatment plan. The plan must:
A. identify what is immediately needed to help stabilize or ameliorate the resident's situation, behavior, or condition based on the assessment in subpart 2;
B. specify short-term objectives and methods for meeting the needs identified in item A; and
C. indicate the license holder's responsibilities for meeting the resident's needs identified by the placing agency.
Subp. 4. Shelter staffing pattern and minimum staff to resident ratio.
Shelter services programs must meet the requirements of this subpart.
A. During normal waking hours, when residents are present, a program certified to provide shelter services to residents must not have a ratio of staff who provide care services to residents less than the requirements of subitems (1) to (4):
B. During normal sleeping hours, a program certified to provide shelter services to residents must maintain a ratio of staff who provide care services to residents which is not less than the requirements of subitems (1) and (2):
C. The license holder must not assign staff in a manner that invades the privacy of residents or embarrasses or diminishes the dignity of residents. The license holder may assign medically licensed staff and purchase the services of persons who are medically licensed to care for or treat residents of the opposite sex.
Subp. 5. Criteria for emergency use of restrictive procedures.
Shelter facilities that want to use restrictive procedures may use restrictive procedures according to the program's statement of intended use if the license holder is certified to use restrictive procedures according to part 2960.0710.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0530 Limitations on Length of Stay
Subpart 1. 90-day limit.
A program providing shelter must not retain a resident longer than 90 days. The license holder must apply for a variance to retain a resident in a shelter beyond 90 days.
Subp. 2. 30-day review.
If a resident remains in a shelter program for more than 30 days, the license holder must review the need for the resident to remain in a shelter program and consider alternative placement plans. The written summary of the review of the resident's need to remain in a shelter beyond 30 days must be placed in the resident's file and a copy sent to the placing agency.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0540 Purpose and Applicability
Subpart 1. Purpose.
Parts 2960.0540 to 2960.0570 establish program certification requirements that govern facilities providing correctional program services to residents in licensed facilities.
Subp. 2. Applicability.
Parts 2960.0540 to 2960.0570 apply to a licensed facility providing correctional program services.
Subp. 3. License requirements.
Programs certified under parts 2960.0540 to 2960.0570 must meet the requirements of parts 2960.0010 to 2960.0120 and be licensed as either a group residential setting according to parts 2960.0130 to 2960.0220 or a family foster setting according to parts 2960.3000 to 2960.3230.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0550 Program Certification Approval
Subpart 1. Certification authority.
Correctional program services must be approved and certified by the Department of Corrections.
Subp. 2. Certification applicability.
Group residential settings and family foster settings may be certified to provide correctional program services according to parts 2960.0540 to 2960.0570.
Subp. 3. Program certification approval.
A license holder who wishes to be certified to offer correctional program services must apply for certification to the certifying authority on forms approved by the certifying authority. The certifying authority must decide whether to approve the license holder's application for certification based on the information provided on the completed application and on an inspection of the program and facts gathered by the certifying authority. The certification document must state how long the program will care for residents in the program and describe the program content and types and amounts of services offered to residents.
Subp. 4. Minimum criteria for certification.
The certificate holder must meet the requirements of items A to D.
A. The license holder must identify specific, measurable outcomes that indicate that the license holder will meet the needs of the target population served by the facility's program. The measurable outcomes must be directly related to the program objectives stated in the license holder's correctional program services certification application.
B. The certification applicants must offer at least the services in subitems (1) to (4) in their correctional services program:
C. The license holder must notify the placement agency that the license holder cannot meet the resident's needs if the license holder's program of correctional program services inadequately addresses the resident's needs that were identified through screening or assessment. The license holder must document notification of the placement agency and the action taken by the placement agency in response to notification from the license holder.
D. The license holder must implement a plan that provides opportunities for physical exercise and recreational activities for residents. The plan must include at least the following requirements:
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0560 Personnel Standards
Subpart 1. Staffing plan approval.
In addition to the staffing plan approval criteria in parts 2960.0100 and 2960.0150, subpart 3, the certifying authority must use the criteria in items A and B to approve a correctional program services staffing plan.
A. A facility having 25 or more residents must have at least one staff person designated to develop, implement, and coordinate recreational programs for the residents. The person designated to develop, implement, and coordinate the recreational programs must have the training or experience needed to perform the duties of the position.
B. In coeducational or female-only programs, female resident housing units must, at a minimum, have one female staff person on duty during night time hours. The license holder must exceed the minimum staff-to-resident ratio if necessary to meet this requirement.
Subp. 2. Staff qualifications.
In addition to the requirements of parts 2960.0100 and 2960.0150, the license holder must designate an individual as:
A. the administrator, who must have at least a bachelor's degree in the behavioral sciences, public administration, or a related field. The administrator must be responsible for ongoing operation of the facility, and maintenance and upkeep of the facility; and
B. a program director, who must have the qualifications in subitems (1) and (2):
Subp. 3. Supervision of treatment.
The program director must:
A. supervise the development of each resident's individual treatment plan;
B. be involved in the resident's treatment planning process and sign the resident's individual treatment plan;
C. supervise the implementation of the individual treatment plan and the ongoing documentation and evaluation of each resident's progress; and
D. document on a biweekly basis a review of all the program services provided for the resident in the preceding week.
Subp. 4. Initial staff orientation training.
A. A staff person who provides correctional program services must complete orientation training related to the specific job functions for which the staff person was hired and the needs of the residents the person is serving. During the first 45 calendar days of employment, and before assuming sole responsibility for care of residents, staff who provide correctional program services must complete training in the topics in subitems (1) to (7):
B. A staff person may not participate in the use of restrictive procedures with a resident before completing approved training according to item A, subitem (4).
Subp. 5. Individual staff development and evaluation plan.
The license holder must ensure that an annual individual staff development and evaluation plan is developed and implemented for each person who provides, supervises, or directly administers correctional program services. The plan must:
A. be developed within 90 days after the person begins employment and at least annually thereafter;
B. meet the staff development needs specified in the person's annual employee evaluation; and
C. ensure that an employee who provides, supervises, or directly administers program services has sufficient training to be competent to deliver the correctional services assigned to the employee.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0570 Facility Operational Policies and Procedures
Subpart 1. Using restrictive procedures, strip searches, and resident-assisted searches.
A. Facilities licensed by the commissioner of corrections that want to use restrictive procedures may use restrictive procedures according to the program's statement of intended use if the license holder is certified to use restrictive procedures according to parts 2960.0710 to 2960.0750.
B. Each strip search must be conducted according to part 2960.0240, subpart 6; and Minnesota Statutes, section 241.0215, subdivision 3. Internal body searches of the anus or genitalia are prohibited.
C. Before a staff member may conduct a strip search or resident-assisted search, the staff member must receive training on trauma-informed techniques according to part 2960.0240, subpart 5.
Subp. 2. Critical incidents.
The certification holder must report critical incidents and the disposition of the critical incidents to the Department of Corrections. Critical incidents that involve or endanger the lives or safety of facility staff or residents must be reported in writing to the certifying authority within ten days on forms approved by the certifying authority.
Subp. 3. Security policies and procedures.
The license holder must have security policies and procedures that include the topics in items A to K:
A. control and recovery of contraband;
B. delivery and service procedure;
C. prohibition of firearms and other weapons in resident areas;
D. search procedures, including strip searches and resident-assisted searches;
E. escort of residents outside security area;
F. when residents are not under direct supervision, conducting well-being checks at least once every 30 minutes, as direct supervision and well-being checks are defined under part 2960.0720, subpart 3;
G. lock and key procedures;
H. inspection of physical plant procedures;
I. count procedures;
J. weapons, tools, equipment, medications, and hazardous substances; and
K. use of chemical irritants.
Subp. 4. Information reporting required.
The license holder must report information and statistics about program services, outcomes, and data about residents in the license holder's facility to the commissioner of corrections according to Minnesota Statutes, section 241.021, subdivision 1, paragraph (a).
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0580 Purpose
Subpart 1. Purpose.
Parts 2960.0580 to 2960.0700 establish the minimum standards that a residential treatment program serving a resident with severe emotional disturbance must meet to qualify for certification. Parts 2960.0580 to 2960.0700 also implement and must be read in conjunction with Minnesota Statutes, sections 245.487 to 245.4889.
Subp. 2. Applicability.
Parts 2960.0580 to 2960.0700 govern license holders who provide residential mental health services to children with severe emotional disturbance.
Subp. 3. Outcomes.
Compliance with the standards and requirements in parts 2960.0580 to 2960.0700 requires that services:
A. are provided as specified in an individual treatment plan based on the clinical needs of the resident;
B. are developed with assistance from the resident's family or legal representative in deciding what services are needed and how they are provided;
C. support the resident in gaining the skills necessary to return to the community;
D. support the family in gaining the skills necessary to care for the returning resident;
E. are provided by qualified people under the clinical supervision of a mental health professional; and
F. meet the quality of services criteria in Minnesota Statutes, section 245.4876, subdivision 1, that are applicable to residential treatment providers.
Subp. 4. License requirements.
A program certified under parts 2960.0580 to 2960.0700 must meet the requirements of parts 2960.0010 to 2960.0120 and be licensed as a group residential setting according to parts 2960.0130 to 2960.0220.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211; L 2003 1Sp14 art 11 s 11; L 2007 c 147 art 8 s 38
Minn. R. 2960.0590 Program and Service Standards
An applicant or license holder must offer services scheduled at accessible times that are appropriate to the resident's age or level of functioning to support achieving the goals and outcomes in the resident's treatment plan. The license holder must offer the services and achieve the outcomes in items A to I.
A. The license holder must offer individual and group psychotherapy that is designed to achieve the outcomes and meet the specific requirements of the resident's individual treatment plan and, when possible, help the resident reintegrate into the resident's family, the community, and a less restrictive setting than residential treatment. The person providing individual and group psychotherapy must, at a minimum, qualify as a mental health practitioner who is supervised by a mental health professional.
B. The license holder must offer crisis assistance services designed to help the resident and family members recognize factors that precipitate a psychiatric crisis, anticipate behaviors and symptoms, and know the resources to use when crisis is imminent or occurs. The person providing crisis assistance services must, at a minimum, qualify as a mental health practitioner and must be supervised by a mental health professional.
C. The license holder must offer medication education designed to have the resident and family understand:
D. The license holder must offer instruction in independent living skills designed to strengthen a resident's ability to function in a less restrictive environment than a residential treatment center. The services must support the resident in carrying out the tasks of daily living, encourage the development of self-esteem, and promote self-sufficiency. The person providing independent living skills services must either qualify as a mental health practitioner or as a staff person with direct contact who is supervised by a mental health practitioner.
E. The license holder must offer recreation, leisure, and play activities designed to achieve the outcomes in subitems (1) and (2):
F. The license holder must offer social and interpersonal skills development designed to achieve the outcomes in subitems (1) and (2):
G. The license holder must offer vocational skills development services designed to prepare the resident for the world of work by exploring the importance of such areas as use of time, acting responsibly, and working within the goal of an organization. The person providing these services must, at a minimum, qualify as a mental health practitioner or must be a staff person with direct contact supervised by a mental health practitioner. The license holder may make vocational skills development services available to the resident through the school district either on the facility campus or at a site provided by the school district.
H. The license holder must offer assistance in parenting skills designed to achieve the outcome of parents using therapeutic parenting techniques that address management of specific behaviors or learning issues directly related to or resulting from the resident's emotional disturbance. The person providing parenting skills services must be supervised by a mental health practitioner.
I. The license holder must offer family support services designed to achieve the outcomes in subitems (1) to (3):
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0600 Developing and Reviewing Individual Treatment Plan
Within ten working days of admitting a resident, the license holder must develop an individual treatment plan that supports achieving the outcomes in items A and B.
A. The development and content of the plan are consistent with the requirements in Minnesota Statutes, sections 245.4871, subdivision 21, and 245.4876, subdivision 3.
B. The plan is based on the diagnostic and functional assessments required in Minnesota Statutes, section 245.4885, subdivision 1, and reflects the resident's age or level of development and any other assessments completed by the license holder or provided by other agencies such as the county, a mental health center or other community agency, and the Minnesota state Departments of Health; Human Services; Education; and Corrections.
C. If the resident is placed in a locked setting for mental health treatment, the resident must be screened according to Minnesota Statutes, section 245.4885, and have a diagnostic assessment according to Minnesota Statutes, section 245.4876, subdivision 2.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0610 Discharge Planning
At least ten days before discharge, the treatment team must develop a discharge plan consistent with Minnesota Statutes, section 245.4882, subdivisions 3 and 4. For residents who are from a cultural minority group, the plan must be developed with advice from a special mental health consultant or multicultural adviser.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0620 Use of Psychotropic Medications
Subpart 1. Conditions for use of psychotropic medications.
When psychotropic medications are administered to a resident in a facility certified under parts 2960.0580 to 2960.0700, the license holder is responsible for ensuring that the conditions in items A to C are met.
A. Use of the medication must be included in the resident's individual treatment plan and is based on the prescribing physician's diagnosis and the diagnostic and functional assessments defined in Minnesota Statutes, section 245.4871.
B. The license holder must document subitems (1) and (2) in the resident's individual treatment plan:
C. Psychotropic medication must not be administered as punishment, for staff convenience, as a substitute for a behavioral or therapeutic program, or in quantities that interfere with learning or other goals of the individual treatment plan.
Subp. 2. Monitoring side effects.
The license holder must monitor for side effects if a resident is prescribed a psychotropic medication and must have the prescribing physician or a pharmacist list possible side effects. The license holder, under the direction of a medically licensed person, must document and check for side effects at least weekly for the first six weeks after a resident begins taking a new psychotropic medication or a significantly increased or decreased dose of a currently used psychotropic medication, and at least quarterly thereafter. Minor increases or decreases in the dose of a currently used psychotropic medication need not be monitored as frequently as a new medication or a significant increase or decrease of a currently used psychotropic medication. In addition to appropriate physical or laboratory assessments as determined by the medically licensed person, standardized checklists or rating scales, or scales developed for a specific drug or drug class, must be used as monitoring tools. The license holder must provide the assessments to the medically licensed person for review.
Subp. 3. Monitoring for tardive dyskinesia.
The license holder, under the direction of a medically licensed person, must monitor for tardive dyskinesia at least every three months if a resident is prescribed antipsychotic medication or amoxapine and must document the monitoring. A resident prescribed antipsychotic medication or amoxapine for more than 90 days must be checked for tardive dyskinesia at least 30 and 60 days after discontinuation of the antipsychotic medication or amoxapine. Monitoring must include use of a standardized rating scale and examination procedure. The license holder must provide the assessments to the physician for review if the results meet criteria that require physician review.
Subp. 4. Training required to administer psychotropic medications.
An employee other than a medically licensed person who is responsible for medication assistance must provide a certificate verifying successful completion of a trained medication aide program for unlicensed personnel. The program must be offered through a postsecondary institution or the medication aide must be trained according to a formalized training program offered by the license holder that must be taught and supervised by a medically licensed person to provide medication assistance. The specific medication administration training provided by a medically licensed person to unlicensed personnel must be documented and placed in the unlicensed employee's personnel records. A medically licensed person must provide consultation and review of the license holder's administration of medications at least weekly. The consultation must review the license holder's compliance with subparts 5 and 6.
Subp. 5. Psychotropic medication review.
If a resident is prescribed a psychotropic medication, the license holder must conduct and document a psychotropic medication review as frequently as required by the physician, but at least monthly for the first six months and at least quarterly thereafter. The license holder must consider and document items A to D at the quarterly review and provide the information to the physician for review:
A. targeted symptoms and behaviors of concern;
B. data collected since the last review;
C. side effects observed and actions taken; and
D. status of the resident's goals in the individual treatment plan.
Subp. 6. Informed consent.
The license holder must obtain informed consent before any nonemergency administration of psychotropic medication. To the extent possible, the resident must be informed and involved in the decision making.
A. Informed consent is required either orally or in writing before the nonemergency administration of psychotropic medication, except that for antipsychotic or neuroleptic medication, informed consent must be in writing. If oral informed consent is obtained for a nonantipsychotic medication, subitems (1) to (4) must be followed:
B. Informed consent for any psychotropic medication must be renewed in writing at least yearly.
C. Informed consent must be obtained from an individual authorized to give consent. An individual authorized to give consent is specified in subitems (1) to (4).
D. Informed consent is not necessary in an emergency situation where the physician determines that the psychotropic medication is needed to prevent serious and immediate physical harm to the individual or others. In the event of the emergency use of psychotropic medication, the license holder must:
E. Informed consent must be obtained by the license holder within 30 days to continue the use of psychotropic medication for a resident admitted with prescribed psychotropic medication.
Subp. 7. Information communicated in obtaining consent.
The information in this subpart must be provided both orally and in writing in nontechnical language to the resident's parent, the resident's legal representative, and, to the extent possible, the resident. The information must include:
A. the diagnosis and level of severity of the symptoms and behaviors for which the psychotropic medication is prescribed;
B. the expected benefits of the medication, including the level to which the medication is to change the symptoms and behavior and an indication of the method used to determine the expected benefits;
C. the pharmacological and nonpharmacological treatment options available and the course of the condition with and without the treatment options;
D. specific information about the psychotropic medication to be used, including the generic and commonly known brand name, the route of administration, the estimated duration of therapy, and the proposed dose with the possible dosage range or maximum dose;
E. the more frequent and less frequent or rare but serious risks and side effects of the psychotropic medication, including how the risks and possible side effects must be managed;
F. an explanation that consent may be refused or withdrawn at any time and that the consent is time-limited and automatically expires as described in subpart 6; and
G. the names, addresses, and telephone numbers of appropriate professionals to contact if questions or concerns arise.
Subp. 8. Refusal of routine administration of psychotropic medication.
If the authorized person refuses consent for a routine administration of psychotropic medication, the conditions in items A to C apply.
A. The psychotropic medication must not be administered or, if the refusal involves a renewal of consent, the psychotropic medication for which consent had previously been given must be discontinued according to a written plan as expediently as possible, taking into account withdrawal side effects.
B. A court order must be obtained to override the refusal.
C. Refusal to consent to use of a specific psychotropic medication is not grounds for discharge of a resident. A decision to discharge a resident must be reached only after the alternatives to the specific psychotropic medication have been attempted and only after an administrative review of the proposed discharge has occurred. If the refusal to consent to the routine administration of a psychotropic medication results in an emergency situation, then the requirements of subpart 6, item D, must be met when psychotropic medication will be administered to a resident.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0630 Clinical Supervision by Mental Health Professional
Subpart 1. Mental health professional consultation.
The license holder must ensure that the residential program employs or contracts with a mental health professional to provide consultation relating to the planning, development, implementation, and evaluation of program services.
Subp. 2. Supervision of staff.
A mental health professional must provide at least weekly face-to-face clinical supervision to staff providing program services to a resident. The mental health professional:
A. must provide clinical supervision of staff either individually or as a group;
B. must document the clinical supervision of staff;
C. must advise the facility director about the planning, development, and implementation of staff development and evaluation; and
D. may provide consultation instead of clinical supervision to other mental health professionals under contract or employed by the license holder to provide program services to a resident.
Subp. 3. Supervision of treatment.
A mental health professional must:
A. supervise the diagnostic assessment of each resident in the facility and the development of each resident's individual treatment plan;
B. document involvement in the treatment planning process by signing the individual treatment plan;
C. supervise the implementation of the individual treatment plan and the ongoing documentation and evaluation of each resident's progress, including the quarterly progress review; and
D. document on a biweekly basis a review of all the program services provided for the resident in the preceding weeks. The license holder must ensure that the mental health professional can be reached for consultation about a mental health emergency, at least by telephone, within 30 minutes.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0640 Staff Qualifications
Subpart 1. General qualifications.
The general staff qualifications of parts 2960.0100 and 2960.0150 apply to the staff described in this part.
Subp. 2. Administrator.
The license holder must designate an individual as administrator. The administrator must have at least a bachelor's degree in the behavioral sciences, health administration, public administration, or a related field such as special education or education administration. The administrator must be responsible for the ongoing operation of the facility and maintenance and upkeep of the facility.
Subp. 3. Program director.
The license holder must designate an individual as program director. The license holder must have at least one program director for every 50 residents receiving program services. The positions of program director and administrator may be filled by the same person if the person meets the qualifications in items A and B. The program director must have the qualifications in items A and B:
A. a master's degree in the behavioral sciences or a related field with at least two years of work experience providing services to residents with severe emotional disturbance or have a bachelor's degree in the behavioral sciences or a related field with a minimum of four years of work experience providing services to residents with severe emotional disturbance; and
B. one year of experience or training in program administration and supervision of staff.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0650 Staff Orientation
Subpart 1. Initial orientation training for staff who provide program services.
A staff person who provides program services must complete orientation training related to the specific job functions for which the person was hired and that meets the needs of the residents the person is serving. During the first 45 calendar days of employment, and before assuming sole responsibility for the care of residents, staff who provide program services must complete training in:
A. the Maltreatment of Minors Act, Minnesota Statutes, chapter 260E, and the license holder's policies and procedures related to this statute;
B. residents' rights;
C. emergency procedures;
D. policies and procedures concerning approved physical holding and seclusion techniques, de-escalation techniques, and physical and nonphysical intervention techniques;
E. rules of conduct and policies and procedures related to discipline of residents served;
F. psychiatric emergencies and crisis services; and
G. problems and needs of residents with severe emotional disturbance and their families. A staff person must not participate in the use of physical holding, seclusion, or other restrictive procedures with a resident before completing approved training according to item D.
Subp. 2. Orientation training for staff who do not provide program services.
Facility staff who do not provide program services must receive orientation training according to subpart 1, items A to C and G.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0660 Individual Staff Development
Subpart 1. Individual staff development and evaluation plan.
The license holder must ensure than an annual individual staff development and evaluation plan is developed and implemented for each person who provides, supervises, or directly administers program services. The plan must:
A. be developed within 90 days after the person begins employment, and at least annually thereafter;
B. meet the staff development needs specified in the person's annual employee evaluation; and
C. address training relevant to specific age, developmental, cultural, and mental health needs of the residents the person serves.
Subp. 2. Amount of annual training.
The license holder must ensure that staff who provide, supervise, or directly administer program services have sufficient training to be competent to deliver the mental health services assigned to the staff person.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0670 Admission
Subpart 1. Admission requirements.
The admission of a resident for residential mental health treatment must meet the requirements of parts 2960.0070 and 2960.0160 and the conditions of subpart 2.
Subp. 2. Conditions governing admission.
A license holder may admit a resident only if the resident meets the conditions in items A to G.
A. The person must meet the age requirements of a resident as defined in part 2960.0020, subpart 59, at the time of admission.
B. If public funds are used to pay for the services, the resident must be screened by the referring county before admission, as required by Minnesota Statutes, section 245.4885, subdivision 1.
C. If public funds are not used to pay for the services, the resident must be screened by a mental health professional using a screening process that is equivalent to that required by Minnesota Statutes, section 245.4885, subdivision 1, before admission.
D. The prior-to-admission screening in item B or C must determine that the residential treatment proposed is necessary and appropriate for the resident's treatment needs, provides a length of stay as short as possible consistent with the resident's need for treatment, and could not be effectively provided in the resident's home.
E. The resident must not be in need of chemical dependency treatment or detoxification at the time of admission, unless the license holder is certified to provide chemical dependency treatment under parts 2960.0430 to 2960.0490 or licensed to provide detoxification services.
F. The developmental and mental health needs of the resident can be met by the license holder's program.
G. The license holder must ensure that residents admitted on an emergency basis, or for the purpose of short-term assessment, diagnosis, and evaluation, must complete the screening required by Minnesota Statutes, section 245.4885, subdivision 1, and have a preliminary diagnosis and treatment plan established within ten working days as required in part 2960.0600. In addition to determining a resident's basic needs, programs that offer mental health diagnostic and evaluation services must:
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 28 SR 211; 32 SR 2268
Minn. R. 2960.0680 Standards Governing Use of Restrictive Procedures
Facilities that provide treatment for children with severe emotional disturbance that want to use restrictive procedures may use restrictive procedures according the program's statement of intended use if the license holder is certified to use restrictive procedures according to part 2960.0710.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0690 Staffing Pattern and Staffing Ratio
Subpart 1. Sufficient staff.
The license holder must provide enough appropriately trained staff to ensure that a resident will have the treatment needs identified in the resident's individual treatment plan met during the resident's stay in the facility. A facility providing treatment in a locked setting according to part 2960.0700 must meet the staff-to-resident ratio of part 2960.0700, subpart 3.
Subp. 2. Awake hours.
During normal waking hours, when residents are present, a facility certified to provide mental health treatment to residents with severe emotional disturbance according to parts 2960.0580 to 2960.0700 must not have a ratio of staff who provide care services to residents of less than:
A. at least one staff person to three residents, if the residents are less than six years old;
B. at least one staff person to four residents, if the residents are six to eight years old;
C. at least one staff person to six residents, if the residents are nine to 11 years old; and
D. at least one staff person to eight residents, if the residents are 12 to 18 years old.
Subp. 3. Sleeping hours.
During normal sleeping hours, a license holder caring for residents younger than nine years old must provide at least one staff person for every seven residents present. During normal sleeping hours, a license holder caring for residents nine years old or older must provide at least one staff person for every 12 residents.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0700 Standards for Treatment in Locked Setting
Subpart 1. Limitations on admissions; treatment in locked setting.
A residential mental health program offering treatment in a locked setting must address the use of a locked setting in its statement of intended use. Before accepting a resident for admission to a locked setting in a residential mental health program, the license holder must meet the criteria in items A and B.
A. The resident's record must include a written statement that a diagnostic assessment conducted according to Minnesota Statutes, section 245.4871, subdivision 11, has established that a persistent pattern of the resident's mental health presents a likely threat of harm to the resident's self or others that would best be treated in a locked setting.
B. The resident has an individual treatment plan that:
Subp. 2. Prohibited placements.
The license holder must not admit a child for treatment in a locked setting as a disposition resulting from adjudication of an offense under the juvenile code without meeting the diagnostic assessment requirements of subpart 1, item A, nor transfer a resident from an unlocked part of a residential facility to a locked part of the same facility solely as a disciplinary measure for violating the rules of conduct of the treatment facility.
Subp. 3. Staff ratio.
During waking hours, the part of the facility providing treatment in a locked setting must provide at least a ratio of one treatment staff person to three residents. The staff-to-resident ratio for treatment in a locked facility does not apply during waking hours when residents are attending school out of that part of the facility. During sleeping hours, the part of the facility providing treatment in a locked setting must provide at least two treatment staff persons to nine residents. At least one of the two treatment staff persons required during sleeping hours must be awake and present in that part of the facility. If the required second staff person is not awake and present in the locked setting, the program must ensure that the second staff person is in the immediate vicinity and may be readily contacted either by telephone, radio, or alarm to come to the immediate assistance of the staff person in the locked part of the facility.
Subp. 4. Additional staff training.
In addition to the training required in part 2960.0660, staff providing treatment in a locked setting must have at least eight hours of additional training annually in subjects that will improve the staff's ability to deal with residents who present a risk of harm to themselves or others.
Subp. 5. Compliance with codes.
A facility must, prior to offering mental health treatment in a locked setting, comply with additional health, fire, or building code requirements that the commissioner of human services, state fire marshal, or Department of Health requires.
Subp. 6. Limitations on use of rooms for seclusion.
The license holder must ensure that the requirements of part 2960.0680 are met if a resident is locked in a room in the part of the facility offering mental health treatment in a locked setting.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.0710 Restrictive Procedures Certification
Subpart 1. Certification required.
A license holder who wishes to use a restrictive procedure with a resident must meet the requirements of this part to be certified to use restrictive procedures with a resident.
Subp. 1a. Department of Corrections; seclusion prohibited.
Facilities licensed by the commissioner of corrections are prohibited from using seclusion as a restrictive procedure.
Subp. 2. Restrictive procedures plan required.
The license holder must have a restrictive procedures plan for residents that is approved by the commissioner of human services or corrections, and the plan must provide at least the following:
A. the plan must list the restrictive procedures, including listing and describing all safety-based separations that may be used, and describe the physical holding techniques that the program will use;
B. how the license holder will monitor and control the emergency use of restrictive procedures;
C. a description of the training that staff who use restrictive procedures must have prior to staff implementing the emergency use of restrictive procedures, which includes at least the following:
D. the license holder must prepare a written review of the use of restrictive procedures in the facility at least annually; and
E. the license holder must ensure that the resident receives treatment for any injury caused by the use of a restrictive procedure.
Subp. 3. Department of Human Services licensed facilities.
License holders who are licensed by the Department of Human Services and certified by the Department of Human Services to provide residential treatment for children with a severe emotional disturbance and children in need of shelter care may seek certification to use one or more of the following restrictive procedures:
A. physical escort;
B. physical holding;
C. seclusion; and
D. the limited use of mechanical restraint only for transporting a resident.
Subp. 4. Department of Corrections-licensed facilities.
License holders that are licensed by the commissioner of corrections may seek certification to use one or more of the following restrictive procedures:
A. physical escort;
B. physical holding;
C. mechanical restraints; and
D. safety-based separation.
Subp. 5. Physical escort requirements.
The physical escort of a resident is intended to be a behavior management technique that is minimally intrusive to the resident. It is to be used to control a resident who is being guided to a place where the resident will be safe and to help de-escalate interactions between the resident and others. A license holder who uses physical escort with a resident must meet the following requirements:
A. staff must be trained according to subpart 2, item C;
B. staff must document the use of physical escort and note the technique used, the time of day, and the name of the staff person and resident involved; and
C. the use of physical escort must be consistent with the resident's case plan or treatment plan.
Subp. 6. Use of physical holding or seclusion.
Physical holding and seclusion are behavior management techniques which are used in emergency situations as a response to imminent danger to the resident or others and when less restrictive interventions are determined to be ineffective. The emergency use of physical holding or seclusion must meet the conditions of items A to M:
A. an immediate intervention is necessary to protect the resident or others from physical harm;
B. the physical holding or seclusion used is the least intrusive intervention that will effectively react to the emergency;
C. the use of physical holding or seclusion must end when the threat of harm ends;
D. the resident must be constantly and directly observed by staff during the use of physical holding or seclusion;
E. the use of physical holding or seclusion must be used under the supervision of a mental health professional or the facility's program director;
F. physical holding and seclusion may be used only as permitted in the resident's treatment plan;
G. staff must contact the mental health professional or facility's program director to inform the program director about the use of physical holding or seclusion and to ask for permission to use physical holding or seclusion as soon as it may safely be done, but no later than 30 minutes after initiating the use of physical holding or seclusion;
H. before staff uses physical holding or seclusion with a resident, staff must complete the training required in subpart 2 regarding the use of physical holding and seclusion at the facility;
I. when the need for the use of physical holding or seclusion ends, the resident must be assessed to determine if the resident can safely be returned to the ongoing activities at the facility;
J. staff must treat the resident respectfully throughout the procedure;
K. the staff person who implemented the emergency use of physical holding or seclusion must document its use immediately after the incident concludes. The documentation must include at least the following information:
L. the room used for seclusion must be well lighted, well ventilated, clean, have an observation window which allows staff to directly monitor a resident in seclusion, fixtures that are tamperproof, with electrical switches located immediately outside the door, and doors that open out and are unlocked or are locked with keyless locks that have immediate release mechanisms; and
M. objects that may be used by a resident to injure the resident's self or others must be removed from the resident and the seclusion room before the resident is placed in seclusion.
Subp. 7. Use of mechanical restraints.
Mechanical restraints are a behavior management device which may be used only when transporting a resident or in an emergency as a response to imminent danger to a resident or others and when less restrictive interventions are determined to be ineffective. A facility that uses mechanical restraints must include mechanical restraints in its restrictive procedures plan. The emergency use of mechanical restraints must meet the conditions of items A to J:
A. an immediate intervention is necessary to protect the resident or others from physical harm;
B. the mechanical restraint used is the least intrusive intervention that will effectively react to the emergency;
C. the use of mechanical restraint must end when the threat of harm ends;
D. the resident must be constantly and directly observed by staff during the use of mechanical restraint;
E. the use of mechanical restraint must be supervised by the program director or the program director's designee;
F. mechanical restraint may be used only as permitted in the resident's treatment plan;
G. as soon as it may safely be done, but no later than 60 minutes after initiating the use of a mechanical restraint, staff must contact the facility's program director or the program director's designee to inform the program director about the use of a mechanical restraint and to ask for permission to use the mechanical restraint;
H. before staff uses a mechanical restraint with a resident, staff must complete training in the use of the types of mechanical restraints used at the facility;
I. when the need for the use of mechanical restraint ends, the resident must be assessed to determine if the resident can safely be returned to the ongoing activities at the facility; and
J. the staff person who used mechanical restraint must document its use immediately after the incident concludes. The documentation must include at least the following information:
Subp. 8.
[Repealed, 49 SR 499]
Subp. 9. Training for staff using physical holding or seclusion.
In addition to the training in subpart 2, item C, staff who use physical holding or seclusion must have the following training before using physical holding or seclusion with a resident:
A. documentation standards for physical holding and seclusion;
B. thresholds for employing physical holding or seclusion;
C. the physiological and psychological impact of physical holding and seclusion;
D. how to monitor and respond to the resident's physical signs of distress;
E. symptoms and interventions for positional asphyxia; and
F. time limits and procedures for obtaining approval of the use of physical holding and seclusion. Training must be updated at least once every two years.
Subp. 9a. Training for safety-based separation.
Before a staff member may participate in safety-based separation, the staff member must complete training according to part 2960.0720, subpart 9. The training must be documented according to part 2960.0100, subpart 5.
Subp. 10. Administrative review.
The license holder must complete an administrative review of the use of a restrictive procedure within three working days after the use of the restrictive procedure. The administrative review must be conducted by someone other than the person who decided to impose the restrictive procedure, or that person's immediate supervisor. The resident or the resident's representative must have an opportunity to present evidence and argument to the reviewer about why the procedure was unwarranted. The record of the administrative review of the use of a restrictive procedure must state whether:
A. the required documentation was recorded;
B. the restrictive procedure was used in accordance with the treatment plan;
C. the rule standards governing the use of restrictive procedures were met; and
D. the staff who implemented the restrictive procedure were properly trained.
Subp. 11. Review of patterns of use of restrictive procedures.
At least quarterly, the license holder must review the patterns of the use of restrictive procedures. The review must be done by the license holder or the facility's advisory committee. The review must consider:
A. any patterns or problems indicated by similarities in the time of day, day of the week, duration of the use of a procedure, individuals involved, or other factors associated with the use of restrictive procedures;
B. any injuries resulting from the use of restrictive procedures;
C. actions needed to correct deficiencies in the program's implementation of restrictive procedures;
D. an assessment of opportunities missed to avoid the use of restrictive procedures; and
E. proposed actions to be taken to minimize the use of physical holding and seclusion.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; L 1995 c 226 art 3 s 60; L 2023 c 52 art 11 s 34
- History: 28 SR 211; 49 SR 499
Minn. R. 2960.0720 Safety-Based Separation
Subpart 1. Applicability.
Parts 2960.0720 to 2960.0750 apply to facilities licensed by the commissioner of corrections.
Subp. 2. Purpose.
As prescribed under Minnesota Statutes, section 241.0215, subdivision 4, safety-based separation is appropriate only when needed to ensure the safety of the resident, other residents, or facility staff.
Subp. 3. Definitions.
A. The terms used in parts 2960.0720 to 2960.0750 have the meanings given in this subpart and part 2960.0020.
B. "Awake hours" means hours other than sleeping hours.
C. "Chief administrator" includes the administrator's designee.
D. "Commissioner" means the commissioner of corrections.
E. "Direct supervision" means when a staff member can see a resident and can immediately intervene to protect the resident's health or safety.
F. "Family" includes the resident's family or household members identified under part 2960.0070, subpart 5, item D.
G. "Sleeping hours" means the hours when residents are required to be in their rooms to sleep, as specified by facility policy and procedure.
H. "Well-being check" means when a staff member stops and directly observes a resident in the facility who is not under direct supervision to:
Subp. 4. When used; requirements.
A. All safety-based separations must be:
B. Notwithstanding item A, subitem (2), safety-based separation may be used when:
C. Safety-based separation must:
D. Staff must end safety-based separation and reintegrate a resident into facility operations once staff determine that the resident no longer requires safety-based separation because the resident exhibits stable, calm behavior and can safely engage with other residents and staff.
Subp. 5. Locked or unlocked area.
Safety-based separation may occur in either a locked or unlocked area. A resident who is separated may not leave the locked or unlocked area until the applicable requirements for ending safety-based separation under parts 2960.0720 to 2960.0750 are met.
Subp. 6. Time-out interventions.
A. Staff may use a time-out as a behavioral intervention, not to exceed 30 minutes. If a time-out lasts longer than 30 minutes, the time-out must transition to safety-stabilization period under part 2960.0730.
B. Notwithstanding part 2960.0080, subpart 5, item D, subitem (2), a time-out must be under the direction of the facility's chief administrator.
C. If staff use a time-out for a resident more than three times in 24 hours, the resident's case manager or treatment team must develop a plan to help staff reduce the use of time-outs as a behavioral intervention. The plan must be documented and approved by the facility's chief administrator.
Subp. 7. Resident rights; grievance procedure.
A. Unless a resident poses imminent danger to self or others, nothing under parts 2960.0720 to 2960.0750 restricts the resident's rights under part 2960.0050, subpart 1, and other rights that a resident is entitled to under law.
B. The grievance procedure under part 2960.0080, subpart 18, applies to parts 2960.0720 to 2960.0750.
Subp. 8. When not applicable.
A. Safety-based separation does not include the following situations:
B. When a resident is not participating in daily programming for a reason under item A, subitems (1) and (3), staff must document:
C. When a resident is not participating in daily programming for a reason under item A, subitems (1) and (3), staff must, every 30 minutes:
Subp. 9. Training.
A. All staff who participate in safety-based separation must be trained in:
B. A license holder must develop in their written policies and procedures training requirements on safety-based separation as follows:
Subp. 10. Policy, documentation, and review required.
A. A license holder must develop in their written policies and procedures:
B. Each incident of safety-based separation must be documented, tracked, reviewed, and reported according to parts 2960.0720 to 2960.0750. A license holder or the facility's chief administrator may develop and use forms to comply with the documentation requirements but must make the forms available to Department of Corrections inspectors upon request.
C. After a safety-based separation:
D. All required documentation under parts 2960.0720 to 2960.0750 must be in writing and maintained according to a facility's record retention schedule under part 2960.0180, subpart 3.
E. At least monthly, a facility's chief administrator must review all safety-based separations.
Subp. 11. Notification.
A resident's case manager or treatment team, placing agency, legal guardian, and family must be notified within four hours after each incident of safety-based separation has begun. The notification must be documented.
History
- Statutory Authority: L 2023 c 52 art 11 s 34
- History: 49 SR 499
Minn. R. 2960.0730 Safety-Stabilization Period (ssp)
Subpart 1. When used; definition.
A. Staff must place a resident in SSP when:
B. A resident cannot remain in SSP for more than 24 hours.
C. For purposes of this part, "hours" means awake hours.
Subp. 2. Initial placement in SSP; well-being checks and reintegration.
A. When a resident is placed in SSP, staff must notify a staff supervisor or lead staff member as soon as possible but no later than 30 minutes after placement. Staff must document when SSP began and whether the supervisor or lead staff member was notified.
B. While a resident is in SSP, staff must, every 30 minutes and including sleeping hours, conduct a well-being check and assess the resident for reintegration.
Subp. 3. Documentation.
All documentation must be signed by all staff overseeing SSP, including staff conducting the well-being checks and reintegration assessments, and by all staff whose notification and approval are needed under this part. Staff must document the following information at the following intervals:
A. at one hour in SSP:
B. at two hours and three hours in SSP:
C. each hour, at four hours through 15 hours in SSP:
D. each hour, at 16 hours through 24 hours:
Subp. 4. Notification.
In addition to the initial SSP notification under subpart 2, staff must notify the following individuals at the following intervals:
A. each hour, at four hours through 15 hours in SSP, the staff supervisor or a higher-level supervisor;
B. each hour, at 16 hours through 23 hours, a higher-level supervisor not involved in the resident's behavioral incident that resulted in SSP and the facility's chief administrator; and
C. at 24 hours, the higher-level supervisor; the facility's chief administrator; the resident's case manager or treatment team, placing agency, legal guardian, and family; and, as provided under subpart 6, the commissioner.
Subp. 5. Review and approval.
Except as provided under subpart 8, staff must receive approval to continue a resident's placement in SSP from the following individuals at the following intervals:
A. at one hour in SSP, a staff supervisor or lead staff member not involved in the resident's behavioral incident that resulted in SSP; and
B. each hour, at four hours through 23 hours, a staff supervisor or higher-level supervisor not involved in the resident's behavioral incident that resulted in SSP.
Subp. 6. Notification to commissioner required.
Once a resident has been in SSP for 24 hours:
A. the facility's chief administrator must notify the commissioner according to part 2960.0270, subpart 12;
B. staff must attempt reintegration; and
C. if reintegration is unsuccessful, staff must:
Subp. 7. Evaluation referral.
A resident who has been in SSP for 24 hours must be immediately referred to a mental health professional or, if a mental health professional is unavailable, a medically licensed person. The mental health professional or medically licensed person must determine whether the resident needs additional treatment services.
Subp. 8. Staffing limitations; documentation required.
Staff must document if a facility's staffing limitations do not allow for the review and approval under subpart 5.
Subp. 9. Reporting.
A. Each quarter and annually at the end of the calendar year, a license holder must report to the commissioner the following data:
B. For each SSP incident, staff must document how many hours that a resident spends in a locked space, excluding sleeping hours and when the resident may leave without staff approval. This data must be provided in the facility's quarterly and annual reporting under item A.
History
- Statutory Authority: L 2023 c 52 art 11 s 34
- History: 49 SR 499
Minn. R. 2960.0740 Administrative Separation
Subpart 1. When used.
Administrative separation must be used by staff when a resident:
A. is engaging in behavior that requires law enforcement to determine whether criminal charges or delinquency proceedings should be brought;
B. is participating in gang activity that would threaten the resident, other residents, or facility staff if the resident were not separated;
C. according to the vulnerability assessment under part 2960.0070, subpart 5, item A, is vulnerable on the basis of actions or comments and the vulnerability creates a threat to the resident's safety;
D. on the basis of actions or comments, creates a threat to another resident's safety and requires a different environment better suited to the resident's needs until staff can create a modified treatment plan; or
E. is being chronically disruptive and the disruption:
Subp. 2. Requirements.
A. Before a resident may be placed in administrative separation, the facility's chief administrator must approve the placement. Staff must document daily why administrative separation is necessary and why other behavioral interventions were unavailable or unsuccessful. The documentation must describe:
B. Once a resident is placed in administrative separation, staff must conduct well-being checks every 30 minutes, including during sleeping hours.
C. Within 12 awake hours of a resident being placed in administrative separation, staff must develop an administrative separation plan for the resident. The administrative separation plan must be developed by the resident's case manager or treatment team. The plan must:
D. The administrative separation plan must be documented. Staff and the chief administrator must:
Subp. 3. Notification.
A. A facility's chief administrator must notify the commissioner according to part 2960.0270, subpart 12, if a resident is expected to be, or has been, in administrative separation for more than 48 awake hours.
B. The notification must be within ten days of the resident's placement, or expected placement, in administrative separation for more than 48 awake hours.
C. Every seven calendar days that a resident remains in administrative separation, the facility's chief administrator must notify the commissioner and the resident's case manager or treatment team, placing agency, legal guardian, and family of the following:
D. The facility's chief administrator must document whether they provided the notification under item C.
Subp. 4. Reintegrating the resident into facility operations.
A. When staff determine that the resident's behavior no longer requires safety-based separation and the resident can be reintegrated into facility operations:
B. Within four hours after the resident has been reintegrated into facility operations, the facility's chief administrator must notify the commissioner and the resident's case manager or treatment team, placing agency, legal guardian, and family.
C. The facility's chief administrator must document whether they provided the notification under item B.
Subp. 5. Reporting.
A. For each incident of administrative separation, a facility must document how many hours that a resident spends in a locked or unlocked space, excluding sleeping hours, when the resident cannot leave without staff approval. This data must be provided in the facility's quarterly and annual reporting under item B.
B. Each quarter and annually at the end of the calendar year, a license holder must report to the commissioner the following data:
History
- Statutory Authority: L 2023 c 52 art 11 s 34
- History: 49 SR 499
Minn. R. 2960.0750 Medical Separation
Subpart 1. When used.
A. Medical separation must be used by staff:
B. Medical separation may be used to manage an epidemic or pandemic.
Subp. 2. Requirements.
A. Before a resident may be placed in medical separation, the facility's chief administrator must approve the placement. Medical separation must be overseen by a mental health professional or, if a mental health professional is unavailable, a medically licensed person.
B. Once a resident is placed in medical separation, staff must conduct well-being checks, including during sleeping hours. The well-being checks must be conducted every 15 minutes unless a mental health professional or, if a mental health professional is unavailable, a medically licensed person determines that 30-minute checks would not jeopardize the resident's health or safety.
C. Staff must document daily why medical separation is necessary and describe:
D. Staff, in consultation with a mental health professional or medically licensed person, must develop a medical separation plan for a resident within eight awake hours of a resident being placed in medical separation. The plan must address modifications to the resident's daily programming and resident's treatment plan.
E. The medical separation plan must be documented. Staff, a mental health professional or medically licensed person, and the chief administrator must:
Subp. 3. Notification.
A. A facility's chief administrator must notify the commissioner according to part 2960.0270, subpart 12, if a resident is expected to be, or has been, in medical separation for more than 48 awake hours.
B. The notification must be within ten days of the resident's placement, or expected placement, in medical separation for more than 48 awake hours.
C. Every seven calendar days that a resident remains in medical separation, the facility's chief administrator must notify the commissioner and the resident's case manager or treatment team, placing agency, legal guardian, and family of the following:
D. The facility's chief administrator must document whether they provided the notification under item C.
Subp. 4. Reintegrating the resident into facility operations.
A. When staff determine that the resident's behavior no longer requires safety-based separation and the resident can be reintegrated into facility operations:
B. Within four hours after the resident has been reintegrated into facility operations, the facility's chief administrator must notify the commissioner and the resident's case manager or treatment team, placing agency, legal guardian, and family.
C. The facility's chief administrator must document whether they provided the notification under item B.
Subp. 5. Reporting.
A. For each incident of medical separation, staff must document how many hours that a resident spends in a locked or unlocked space, excluding sleeping hours, when the resident cannot leave without staff approval. This data must be provided in the facility's quarterly and annual reporting under item B.
B. Each quarter and annually at the end of the calendar year, a license holder must report to the commissioner the following data:
History
- Statutory Authority: L 2023 c 52 art 11 s 34
- History: 49 SR 499
Minn. R. 2960.3000 Foster Family Settings
Subpart 1. Purpose and applicability.
Parts 2960.3000 to 2960.3100 establish the minimum standards that a foster family setting must meet to qualify for licensure. Parts 2960.3200 to 2960.3230 contain requirements for foster residence settings. Additional licensing requirements for foster family settings that offer treatment foster care are in parts 2960.3300 to 2960.3340.
Subp. 2. Outcomes.
One of the goals of foster care must be that the foster child will experience a safe and healthy family life. The license holder must also promote the child's development as a physically and mentally healthy person. To accomplish these outcomes, the license holder must:
A. actively participate with the agency placing the child, to implement the case plan and meet the needs of the child; and
B. as much as possible, considering the child's age, the child's needs, and the case plan, include the child in the daily life of the family, including eating meals with the family and participating in recreational activities.
Subp. 3. Community interests.
The license holder must rely on the advice and counsel of the advisory board or board of directors of the licensing agency regarding community interests and the needs of the community served by the foster home. A license holder, who is supervised by a county, may rely on the advice and counsel of the supervising county and its employees regarding community interests and the needs of the clients and community. The requirements of this subpart do not apply to foster homes licensed by the Department of Corrections.
Subp. 4. Statement of intended use.
The license holder must work with the licensing agency to develop a statement of intended use. The statement of intended use must specify:
A. the number of children the foster home is licensed for, the age range of children to be placed in the home, and any limitations affecting the placement of children in the home;
B. whether or not the home will serve as an emergency shelter home, a treatment foster care home, or a home for medically fragile children; and
C. circumstances when the ratio of one adult to five children does not need to be maintained. The statement of intended use must be approved by the licensing agency, but may be modified at any time by agreement between the licensing agency and the license holder to reflect changes that affect the placement of children in the home.
Subp. 5. Program outcomes.
The license holder must cooperate with the licensing agency's attempt to determine the outcomes of a child's foster care placement. The outcome information must be shared with the license holder and incorporated into the evaluation process outlined in part 2960.3100, subpart 1, item G.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
Minn. R. 2960.3010 Definitions
Subpart 1. Scope.
The terms used in parts 2960.3000 to 2960.3340 have the meanings given them in this part.
Subp. 2. Applicant.
"Applicant" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 3, and a person who has completed and signed an application form. Applicant includes a current license holder who is seeking relicensure or recertification.
Subp. 3. Assessment.
"Assessment" means the process used by a qualified person to identify and evaluate the child's strengths, weaknesses, problems, and needs.
Subp. 4. Aversive procedure.
"Aversive procedure" has the meaning given in part 9525.2710, subpart 4.
Subp. 5. Basic services.
"Basic services" means services provided at the foster home to the foster child that meets the foster child's basic need for food, shelter, clothing, medical and dental care, personal cleanliness, privacy, spiritual and religious practice, safety, and adult supervision.
Subp. 6. Caregiver.
"Caregiver" means a person who provides services to a child according to the child's case plan in a setting licensed or certified under parts 2960.0010 to 2960.3340.
Subp. 7. Case manager.
"Case manager" means the supervising agency responsible for developing, implementing, and monitoring the case plan.
Subp. 8. Case plan.
"Case plan" means a plan of care for a foster child that is developed by the supervising agency with the child's parents and license holder and monitored by the placing agency.
Subp. 9. Chemical.
"Chemical" means alcohol, solvents, and other mood altering substances, including controlled substances as defined in Minnesota Statutes, section 152.01, subdivision 4.
Subp. 10.
[Repealed, 32 SR 2268]
Subp. 11. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner of the Department of Corrections.
Subp. 12. Cultural competence or culturally competent.
"Cultural competence" or "culturally competent" means a set of congruent behaviors, attitudes, and policies that come together in a system, agency, or among professionals to work effectively in cross-cultural situations.
Subp. 13. Deprivation procedure.
"Deprivation procedure" has the meaning given in part 9525.2710, subpart 12.
Subp. 14. Direct contact.
"Direct contact" means providing face-to-face care, training, supervision, counseling, consultation, or medication assistance to a child.
Subp. 15. Disability.
"Disability" has the meaning given in Minnesota Statutes, section 363A.03, subdivision 12.
Subp. 16. Discipline.
"Discipline" means the use of reasonable, age-appropriate consequences designed to modify and correct behavior according to a rule or system of rules governing conduct.
Subp. 17. Education.
"Education" means the regular and special education and related services to which school-age children are entitled as required by applicable law and rule.
Subp. 18. Emotional disturbance.
"Emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 15.
Subp. 19. Family.
"Family" means persons related to the child by blood, marriage, or adoption, or an individual who is an important friend with whom the child has resided or had significant contact.
Subp. 20. Foster care.
"Foster care" has the meaning given in part 9560.0521, subpart 9.
Subp. 21. Foster child.
"Foster child" means a person under 18 years of age, a person in special education, or a juvenile under the jurisdiction of a juvenile court who is under 22 years of age and is placed in a foster home.
Subp. 22. Foster family or household members.
"Foster family or household members" means persons related by blood, marriage, or adoption and unrelated persons who are presently residing together.
Subp. 23. Foster family setting.
"Foster family setting" means the foster home in which the license holder resides.
Subp. 24. Foster home.
"Foster home" means the dwelling unit used by the license holder to provide foster care to the foster child.
Subp. 25. Foster parent.
"Foster parent" means an individual licensed under Minnesota Statutes to provide foster care.
Subp. 26. Foster residence setting.
"Foster residence setting" means a foster home in which the license holder does not reside.
Subp. 27. License.
"License" means written authorization issued by the commissioner of human services or corrections allowing the license holder to provide foster care service at a foster home for a specified time and in accordance with the terms of the license and the rules of the commissioner of human services or corrections.
Subp. 28. License holder.
"License holder" means an individual, corporation, partnership, voluntary association, or other organization or entity that is legally responsible for the operation of the foster home that has been granted a license by the commissioner of human services under Minnesota Rules and Minnesota Statutes, chapter 245A, or the commissioner of corrections under Minnesota Statutes, section 241.021, subdivision 2. The duties of the license holder may be discharged by a person designated by the license holder to act on behalf of the license holder.
Subp. 29. Licensed professional.
"Licensed professional" means a person qualified to complete a diagnostic evaluation, including a physician licensed under Minnesota Statutes, chapter 147, or a qualified mental health professional licensed under Minnesota Statutes, section 148B.18, subdivision 10, or a person defined as a "mental health professional" in Minnesota Statutes, section 245.4871, subdivision 27.
Subp. 30. Licensing agency.
"Licensing agency" means a county, individual, corporation, partnership, voluntary association, the Department of Corrections, or other organization or entity that recommends licensure of an applicant for a license or license renewal to the state according to parts 9543.0010 to 9543.0150.
Subp. 31. Medication assistance.
"Medication assistance" means helping children take medication and monitoring the effects of medication but does not include administering injections. For purposes of this subpart, "medication" means a prescribed substance that is used to prevent or treat a condition or disease, to heal, or to relieve pain.
Subp. 32. Person assisted by medical technology.
"Person assisted by medical technology" means a person who has a chronic or acute health condition which requires the routine use of a medical device to assist or maintain a life-sustaining body function and requires ongoing care or monitoring by trained personnel on at least a daily basis.
Subp. 33. Placing agency.
"Placing agency" means a private agency licensed according to parts 9545.0755 to 9545.0845 or a county agency that places a child according to parts 9560.0500 to 9560.0670.
Subp. 34. Psychotropic medication.
"Psychotropic medication" means a medication prescribed to treat mental illness and associated behaviors or to control or alter behavior. The major classes of psychotropic medication are antipsychotic or neuroleptic, antidepressant, antianxiety, antimania, stimulant, and sedative or hypnotic. Other miscellaneous classes of medication are considered to be psychotropic medication when they are specifically prescribed to treat a mental illness or to alter behavior based on a foster child's diagnosis.
Subp. 35. Residential program.
"Residential program" means a program that provides 24-hour-a-day care, supervision, food, lodging, rehabilitation, training, education, habilitation, or treatment for a child outside of the child's home pursuant to Minnesota Statutes, chapter 245A.
Subp. 36. Respite care.
"Respite care" means temporary care of foster children in a licensed foster home other than the foster home the child was placed in.
Subp. 37. Screening.
"Screening" means an examination of a child by means of a test, interview, or observation to determine if the child is likely to have a condition that requires assessment or treatment.
Subp. 38. Seclusion.
"Seclusion" means confining a person in a locked room.
Subp. 39. Shelter care or emergency shelter care.
"Shelter care" or "emergency shelter care" means a residential program offering short-term, time-limited placements of 90 days or less to children who are in a behavioral or situational crisis, need out-of-home placement in a protective environment, and have an immediate need for services.
Subp. 40. Staff.
"Staff" means a person who works for a foster residence setting license holder and is employed to work as an hourly employee, shift-staff employee, or houseparent.
Subp. 41. Substitute care.
"Substitute care" means temporary care of foster children inside the foster home by someone other than the foster parent for overnight or longer.
Subp. 42. Time-out.
"Time-out" means a treatment intervention in which a caregiver trained in time-out procedures removes a child from an ongoing activity to an unlocked room or area commonly used as a living space that is safe and where the child remains until the precipitating behavior abates or stops.
Subp. 43. Treatment foster care.
"Treatment foster care" means a culturally relevant, community-based and family-based method by which planned, integrated treatment services are provided to foster children and their parents by foster parents who are qualified to deliver treatment services. Treatment service may be provided to children with severe emotional disturbance, developmental disabilities, serious medical conditions, or serious behavioral problems, including, but not limited to, criminal sexual conduct, assaultiveness, or substance abuse.
Subp. 44. Treatment plan.
"Treatment plan" means a written plan of intervention, treatment, and services for a child in a foster setting that is developed by a license holder or placing agency on the basis of a child's screening, assessment, and case plan. The treatment plan, which is developed with the child and the child's parents, identifies goals and objectives of treatment, treatment strategy, a schedule for accomplishing treatment goals and objectives, and the entities responsible for providing treatment services to the child.
Subp. 45. Variance.
"Variance" means written permission from the commissioner of human services or corrections for a license holder to depart from a rule standard for a specific period of time pursuant to Minnesota Statutes, section 245A.04, subdivision 9.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 28 SR 211; 32 SR 2268
Minn. R. 2960.3020 Licensing Process
Subpart 1. License required.
An individual, corporation, partnership, voluntary association, other organization, or controlling individual must not provide foster care without a license from the commissioner of human services or corrections unless an exclusion specified in this chapter or Minnesota Statutes, section 245A.03, subdivision 2, applies.
Subp. 2. Application.
Application for a license must be made to the county agency in the county where the applicant resides or to a Minnesota-licensed child placing agency on a form approved by the commissioner of human services. Group foster homes licensed by the Department of Corrections under chapter 2925 and Minnesota Statutes, section 241.021, subdivision 2, as of the adoption of this chapter, may apply to the Department of Corrections for a foster care license according to subpart 12. An application for licensure is complete when the applicant signs the license application and submits all of the information required in this subpart.
Subp. 3. License does not guarantee placement.
Licensure under parts 2960.3000 to 2960.3340 is not an entitlement, a right, or a guarantee that children will be placed in the foster home. The agency responsible for the child retains the right to choose which licensed foster home is best suited for an individual child in need of foster care placement.
Subp. 4. License not transferable.
A license under parts 2960.3000 to 2960.3340 is not transferable to another person, entity, or site.
Subp. 5. Commissioner's right of access.
The commissioner of human services' right of access must be according to Minnesota Statutes, section 245A.04, subdivision 5. The commissioner of corrections must have access to a Department of Corrections licensed foster home according to Minnesota Statutes, section 241.021.
Subp. 6. Limited licensure.
A license holder may be licensed through only one Minnesota-licensed child placing agency or county social services agency at a time. A license holder must not be licensed at the same time by both the Department of Human Services and the Department of Corrections. A license holder must not simultaneously hold a relative foster care emergency license issued according to Minnesota Statutes, section 245A.035, and a separate foster family setting license issued under this chapter.
Subp. 7. Notice of changes in household conditions.
The license holder must immediately notify the licensing agency of foster home and foster family or household member changes that affect the terms of the license or the ability of the license holder to provide care to children.
Subp. 8. Roomers and boarders.
A license holder must not have adult roomers or boarders in the foster home without the licensing agency's approval. Roomers or boarders are subject to an applicant background study according to part 2960.3060, subpart 2.
Subp. 9. Variance standards.
A license applicant or license holder may request, in writing, a variance from rule requirements that do not affect the health, safety, or rights of the child or others. The commissioner of human services or corrections may grant variances according to Minnesota Statutes, section 245A.04, subdivision 9. A variance request must include:
A. the part or parts of the rule for which a variance is sought;
B. the reason why a variance from the specified provision is sought;
C. the period of time for which a variance is requested;
D. written approval from the fire marshal, building inspector, or health authority when the variance request is for a variance from a fire, building, or health code; and
E. alternative equivalent measures the foster care applicant or license holder will take to ensure the health and safety of children if the variance is granted. The decision of the commissioner of human services or corrections to grant or deny a variance request is final and not subject to appeal under Minnesota Statutes, chapter 14.
Subp. 10. Other licenses.
A license holder cannot concurrently hold a license for family child care or adult family foster care without a variance from the licensing agency.
Subp. 11. Denial of license.
The commissioner of human services or corrections shall deny a license if the applicant fails to fully comply with laws or rules governing the program or fails to cooperate with a placing or licensing agency. Failure to fully comply shall be indicated by:
A. documentation of specific foster home deficiencies that may endanger the health or safety of children;
B. failure to be approved by fire, building, zoning, or health officials;
C. documentation of a disqualification of the applicant for licensure or relicensure, or the controlling individual regarding a background study which has not been set aside; or
D. any other evidence that the applicant is not in compliance with applicable laws or rules governing the program.
Subp. 12. Department of Corrections licensed foster homes.
Foster homes licensed by the Department of Corrections under chapter 2925 and Minnesota Statutes, section 241.021, subdivision 2, at the time of the adoption of this chapter, may continue to be licensed as foster homes by the Department of Corrections, acting as the licensing agency. Foster homes that are licensed by the Department of Corrections must meet the standards in parts 2960.3000 to 2960.3340. The Department of Corrections will use the standards in this part to issue or deny a foster care license.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3030 Capacity Limits
Subpart 1. Maximum foster children allowed.
A foster home must have no more than six foster children. The maximum number of children allowed in a home is eight, including a foster parent's own children. The license holder must maintain a ratio of one adult for each five children.
Subp. 2. Capacity limits.
The capacity limits in items A to C apply to foster homes.
A. A foster home must have no more than three children who are under two years of age or who are nonambulatory, unless the license holder maintains a ratio of at least one adult present when children are present for every three children under two years of age or children who are nonambulatory.
B. A foster home must have no more than four foster children at one time if any of the children have severe or profound developmental disabilities, have severe emotional disturbance, or is a person assisted by medical technology.
C. The number of foster children a foster home may accept must be limited based on the factors in subitems (1) to (5):
Subp. 3.
[Repealed, L 2019 1Sp9 art 2 s 134]
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211; L 2005 c 56 s 2; L 2019 1Sp9 art 2 s 134
Minn. R. 2960.3040 Foster Home Physical Environment
Subpart 1. Fire, health, building, and zoning codes.
The foster home must comply with applicable fire, health, building, and zoning codes.
Subp. 2. Sleeping space.
A foster child must be provided with a separate bed suitably sized for the child, except that two siblings of the same sex may share a double bed. A foster child must not be assigned sleeping space in a building, apartment, trailer, or other structure that is separate from the foster family home or in an unfinished attic, an unfinished basement, or a hall or any other room normally used for purposes other than sleeping. Bedrooms that are used by foster children must have two exits.
Subp. 3. Space for belongings.
A foster child must have an identified space for clothing and personal possessions with cabinets, closets, shelves, or hanging space sufficient to accommodate clothing and personal possessions.
Subp. 4. Dining area.
The dining area must be able to accommodate, at one time, all persons residing in the home.
Subp. 5. Construction or remodeling.
Changes in a foster home resulting from construction or remodeling must meet applicable building codes. The license holder must notify the licensing agency of changes to the licensed setting resulting from construction if those changes affect a licensing requirement.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3050 Foster Home Safety
Subpart 1. Inspection by licensing agency.
Prior to licensure, the foster home must be inspected by a licensing agency employee using the home safety checklist from the commissioner of human services. The applicant must correct deficiencies in the foster home which were identified by the agency. The licensing agency may require a health inspection if the foster home's condition could present a risk to the health of a foster child.
Subp. 2. Fire code inspections required.
If one of the conditions in items A to E exist, the foster home must document inspection and approval of the foster home according to Minnesota Statutes, section 299F.011, and the Uniform Fire Code by the state fire marshal or a local fire code inspector who is approved by the state fire marshal:
A. the foster home contains a freestanding solid fuel heating appliance;
B. the foster home is a manufactured home as defined in Minnesota Statutes, section 327B.01, subdivision 13, and was manufactured before June 15, 1976;
C. the licensing agency identifies a potential hazard in a single-family detached home, or a mixed or multiple-occupancy building;
D. the home is to be licensed for four or more foster children; or
E. the foster home has a foster child sleeping in a room that is 50 percent or more below ground level.
Subp. 3. Emergency procedures.
The license holder must give the licensing agency a floor plan of the foster home showing emergency evacuation routes. Emergency procedures must include a plan for care of children, evacuation, temporary shelter, and gathering at a meeting place to determine if anyone is missing. The plan must specifically address the needs of children whose behavior increases the risk of having a fire. The foster parent must give the emergency procedures to the agency, and the foster parent and licensing agency must review the emergency procedures during relicensure.
Subp. 4. Pets.
A foster home serving children less than six years of age must not keep reptiles, chickens, or ducks as pets. A foster home serving children six years of age and older that keeps reptiles, chickens, or ducks as pets must require a thorough hand washing following the handling of the animal, its food, and anything the animal has touched. Pets in family residences must be immunized and maintained as required by local ordinances and state law.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3060 License Holder Qualifications
Subpart 1. Experience.
The prospective license holder must agree to cooperate with the licensing agency and:
A. have at least the equivalent of two years of full-time experience caring for or working with the issues presented by the children they will care for, whether they are the license holder's own children or other children;
B. agree to receive training in child care and development as needed in order to meet the individual needs of the children placed in the foster home;
C. be related to the child needing foster care; or
D. be an important friend with whom the child has resided or had significant contact.
Subp. 2. Background study.
A license holder and individuals identified in Minnesota Statutes, sections 241.021 and 245A.04, subdivision 3, must submit to a background study.
A. Background checks conducted by the Department of Human Services must be conducted according to Minnesota Statutes, section 245A.04, subdivision 3.
B. Background checks conducted by the Department of Corrections must be conducted according to Minnesota Statutes, section 241.021, subdivision 6.
Subp. 3. Personal characteristics of applicants.
The applicant must comply with the requirements of items A to G.
A. The applicant must be at least 21 years old at the time of application.
B. The applicant and household members must provide a signed statement which indicates that they are receiving all necessary medical care, do not pose a risk to the child's health, and are physically able to care for foster children and indicate any limitations the applicant and household members may have.
C. The applicant and adult household members must sign a statement that they have been free of chemical use problems for the past two years.
D. The applicant must help the licensing agency obtain at least three letters of reference that provide information about the license holder's support system, the observed license holder's interactions with children, and the ability of the license holder and foster family to accept different points of view.
E. The applicant must help the licensing agency get previous foster care studies completed on the applicant by any other agency to which the applicant has applied for foster care licensure.
F. The licensing agency must make a determination as to whether a prospective license holder and foster parent can provide appropriate structure and is suitable to be licensed if a prospective license holder or foster parent has had either of the following:
G. The licensing agency may consult with a specialist in such areas as health, mental health, or chemical dependency to evaluate the abilities of the applicant to provide a safe environment for foster children. The licensing agency and the specialist must evaluate each applicant individually. The licensing agency must request a release of information from the applicant prior to assigning the specialist to evaluate the applicant. The licensing agency must tell the applicant why it is using a specialist to evaluate the applicant.
Subp. 4. Home study of applicant.
The applicant must cooperate with a home study conducted by the licensing agency. At a minimum, there must be one in-home interview and documented interviews with all household members over seven years of age. The home study must be completed using the commissioner of human services' designated format. The applicant must demonstrate the ability to:
A. provide consistent supervision, positive and constructive discipline, and care and training to contribute to the foster child's well-being;
B. understand the licensing agency's programs and goals;
C. work within agency and state policies;
D. share responsibility for the foster child's well-being with the foster child's social worker, school, and legal parents;
E. actively support the foster child's racial or ethnic background, culture, and religion, and respect the child's sexual orientation;
F. accept the foster child's relationship with the child's family and relatives and to support visitation and family reunification efforts;
G. have a current network of support that may include extended family, and neighborhood, cultural, and community ties that the applicant can use to strengthen the applicant's abilities, and for support and help;
H. meet the foster child's special needs, if any, including medical needs, disabilities, or emotional disturbance;
I. deal with anger, sorrow, frustration, conflict, and other emotions in a manner that will build positive interpersonal relationships rather than in a way that could be emotionally or physically destructive to other persons; and
J. nurture children, be mature and demonstrate an ability to comply with the foster child's care plan, and meet the needs of foster children in the applicant's care.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211; L 2012 c 216 art 6 s 13
Minn. R. 2960.3070 Foster Parent Training
Subpart 1. Orientation.
A nonrelative foster parent must complete a minimum of six hours of orientation before admitting a foster child. Orientation is required for relative foster parents who will be licensed as a child's foster parents. Orientation for relatives must be completed within 30 days following the initial placement. The foster parent's orientation must include items A to E:
A. emergency procedures, including evacuation routes, emergency telephone numbers, severe storm and tornado procedures, and location of alarms and equipment;
B. relevant laws and rules, including, but not limited to, chapter 9560 and Minnesota Statutes, chapters 245A, 260, 260C, and 260E, and legal issues and reporting requirements;
C. cultural diversity, gender sensitivity, culturally specific services, cultural competence, and information about discrimination and racial bias issues to ensure that caregivers will be culturally competent to care for foster children according to Minnesota Statutes, section 260C.212, subdivision 11;
D. information about the role and responsibilities of the foster parent in the development and implementation of the case plan and in court and administrative reviews of the child's placement; and
E. requirements of the licensing agency.
Subp. 2. In-service training.
Each foster parent must complete a minimum of 12 hours of training per year in one or more of the areas in this subpart or in other areas as agreed upon by the licensing agency and the foster parent. If the foster parent has not completed the required annual training at the time of relicensure and does not show good cause why the training was not completed, the foster parent may not accept new foster children until the training is completed. The nonexclusive list of topics in items A to Z provides examples of in-service training topics that could be useful to a foster parent:
A. cultural competence and transcultural placements;
B. adoption and permanency;
C. crisis intervention, including suicide prevention;
D. sexual offender behaviors;
E. children's psychological, spiritual, cultural, sexual, emotional, intellectual, and social development;
F. legal issues including liability;
G. foster family relationships with placing agencies and other service providers;
H. first aid and life-sustaining treatment such as cardiopulmonary resuscitation;
I. preparing foster children for independent living;
J. parenting children who suffered physical, emotional, or sexual abuse or domestic violence;
K. chemical dependency, and signs or symptoms of alcohol and drug abuse;
L. mental health and emotional disturbance issues;
M. Americans with Disabilities Act and Individuals With Disabilities Education Act;
N. caring for children with disabilities and disability-related issues regarding developmental disabilities, emotional and behavioral disorders, and specific learning disabilities;
O. privacy issues of foster children;
P. physical and nonphysical behavior guidance, crisis de-escalation, and discipline techniques, including how to handle aggression for specific age groups and specific issues such as developmental disabilities, chemical dependency, emotional disturbances, learning disabilities, and past abuse;
Q. birth families and reunification;
R. effects of foster care on foster families;
S. home safety;
T. emergency procedures;
U. child and family wellness;
V. sexual orientation;
W. disability bias and discrimination;
X. management of sexual perpetration, violence, bullying, and exploitative behaviors;
Y. medical technology-dependent or medically fragile conditions; and
Z. separation, loss, and attachment.
Subp. 3. Medical equipment training.
Foster parents who care for children who rely on medical equipment to sustain life or monitor a medical condition must meet the requirements of Minnesota Statutes, section 245A.155.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3080 Placement, Continued Stay, and Discharge
Subpart 1. Placement criteria.
Foster care placement is governed by the statement of intended use developed by the licensing agency and the license holder. The license holder may decline to accept a foster child without a stated reason. The requirements of parts 2960.0510 to 2960.0530 do not apply if the foster home serves as an emergency shelter home.
Subp. 2. Screening.
The license holder must cooperate with the placing agency to ensure that the child's needs are identified and addressed.
Subp. 3. Child's property.
The foster child must be allowed to bring personal possessions, as agreed upon between the child, the child's parent, the placing agency, and the license holder, to the foster home and must be allowed to accumulate possessions to the extent the home is able to accommodate them.
Subp. 4. Information about foster children.
Before placement or within five days following placement, the placing agency shall give the license holder written information in items A to K about the child:
A. the child's placement history summary;
B. name and nicknames;
C. date of birth;
D. gender;
E. name, address, and telephone number of the child's parents, guardian, and advocate;
F. race or cultural heritage of the child, including tribal affiliation, if any;
G. description of the child's presenting problems, including medical problems, circumstances leading to placement, mental health concerns, safety concerns including assaultive behavior, and victimization concerns;
H. description of assets and strengths of the child and, if available, related information from the child, child's family, including siblings, and concerned persons in the child's life;
I. name, address, and telephone number of the contact person for the last educational program the child attended, if applicable;
J. spiritual or religious affiliation of the child and the child's family; and
K. information about the child's medication and diet needs and the identities of the child's recent health care providers. The child's placing agency shall update the information in items A to K as new information becomes available.
Subp. 5. Cooperation required.
The license holder must cooperate with the child's placing agency according to items A and B.
A. The license holder must provide basic services to the child.
B. The license holder must cooperate with the child's case manager and other appropriate parties to develop and implement the child's case plan during the child's stay in the foster home. The license holder shall cooperate in the following areas:
Subp. 6. Foster child services.
The license holder must:
A. work with the child's placing agency and child's parents to develop a plan to identify and meet a foster child's immediate needs. The license holder must collaborate with the placing agency to provide the basic services to the child;
B. encourage age-appropriate activities, exercise, and recreation for the foster child;
C. seek consultation or direction from the placing agency if issues arise that cannot be resolved between the license holder and the foster child;
D. explain house rules and tell the foster child about the license holder's expectations about behavior, the care of household items, and the treatment of others; and
E. know the whereabouts of the child in the license holder's care. The license holder must be guided by the case plan or court order in determining how closely to supervise the child. The license holder must immediately notify the placing agency if the child runs away or is missing.
Subp. 7. Foster child diet.
A foster child must be provided food and beverages that are palatable, of adequate quantity and variety, served at appropriate temperatures, and have sufficient nutritional value to promote the child's health. If the child has a medically prescribed diet, then the license holder must provide the diet as ordered by a physician or other licensed health care provider.
Subp. 8. Discipline.
The license holder must consider the child's abuse history and developmental, cultural, disability, and gender needs when deciding the disciplinary action to be taken with the child. Disciplinary action must be in keeping with the license holder's discipline policy. The discipline policy must include the requirements in items A and B.
A. Children must not be subjected to:
B. The license holder:
Subp. 9. Visitation and communication.
The license holder must follow the visitation and communication plan in a foster child's case plan, which was developed by the placing agency and child's parents, or required by court order. In the absence of a case plan or court order regarding visitation, the license holder must work with the placing agency and the child's parents to jointly develop a visitation plan.
Subp. 10. Complaints and grievances.
The license holder must work with the licensing agency to develop written complaint and grievance procedures for foster children. The procedures must meet at least the following requirements:
A. the agency or license holder must tell the child and the child's parent or legal representative about the complaint and grievance procedures and upon request give the child or the child's parent or legal representative a copy of the procedures and any forms needed to complain or grieve;
B. the license holder must notify the placing and licensing agency about a written complaint or grievance and the resolution of the complaint or grievance; and
C. a license holder's response to a complaint or grievance that alleges abuse or neglect must meet the requirements of the Maltreatment of Minors Act, Minnesota Statutes, chapter 260E.
Subp. 11. Discharge.
The license holder must work with the child's placing agency to ensure a planned discharge and compliance with Minnesota Statutes, section 260C.212, subdivision 3. Before an unplanned discharge, the license holder must confer with other interested persons to review the issues involved in the decision. During this review process, which must not exceed 30 days, the license holder must determine whether the license holder, treatment team, if any, interested persons, and the child can develop additional strategies to resolve the issues leading to the discharge and to permit the child an opportunity to continue to receive services from the license holder. If the review indicates that the decision to discharge is warranted, the reasons for it and the alternatives considered or attempted must be documented. A child may be temporarily removed from the foster home during the review period if the child is a danger to self or others. This subpart does not apply to a child removed by the placing authority or a parent or guardian.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211; L 2005 c 56 s 2
Minn. R. 2960.3090 Respite and Substitute Care for Family Settings
Subpart 1. Notice requirements.
In nonemergency situations, the license holder, parent, and placing agency must agree on respite care and substitute care arrangements within ten working days prior to the use of respite care or substitute care or must agree on respite care according to an ongoing written agreement. In an emergency that may require the use of respite or substitute care, the license holder must notify the placing agency of the emergency as soon as possible. The license holder must notify the placing agency when respite care or long-term substitute care is being provided.
Subp. 2. Qualifications of long-term substitute caregiver.
A substitute caregiver must:
A. be at least 18 years of age;
B. have completed a background study within the past 12 months;
C. have no statutory or rule disqualification;
D. if providing more than 30 cumulative days of substitute care in a 12-month period:
E. provide documentation of medical equipment training on the equipment used to care for the foster child from an appropriate training source.
Subp. 3. Short-term substitute caregiver.
As used in parts 2960.3000 to 2960.3340, "short-term substitute care" means less than 72 hours of continuous care for a child. A short-term substitute caregiver does not have to meet the requirements of subpart 2. However, the foster parent and the placing agency must agree that the short-term substitute caregiver is able to meet the needs of the foster child. The short-term substitute caregiver must provide documentation of medical equipment training on the equipment used to care for the foster child from an appropriate training source.
Subp. 4. Information to respite caregiver.
The license holder must give a respite care provider the information in items A to D related to the foster child's health, safety, and welfare:
A. information about the foster child's emotional, behavioral, medical, and physical condition;
B. any medication the foster child takes;
C. the foster child's daily routine and schedule; and
D. the names and telephone numbers of individuals to contact in case of emergency and information about medical providers and how to obtain medical care for the child.
Subp. 5. Information to substitute caregivers.
The license holder must give a substitute care provider the information in subpart 4, and in items A to D:
A. the location of a fire extinguisher and first aid supplies;
B. emergency and fire evacuation plans;
C. information about child abuse and mandatory reporting laws; and
D. if an emergency occurs which involves the foster child, the substitute caregiver must notify the placing agency as soon as possible about the emergency.
Subp. 6. Overnights and short trips.
The license holder must seek direction from the placing agency about whether or not the foster child may go on overnights or short trips outside the supervision of the license holder.
Subp. 7. Foster residence settings.
Foster residence settings may not use respite caregivers, long-term substitute caregivers, and short-term substitute caregivers. Subparts 1 to 6 do not apply to foster residence settings.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3100 Records
Subpart 1. Foster care license records.
The license holder must cooperate with the licensing agency to ensure the agency has the following records:
A. a copy of the application for licensure signed by the applicant;
B. a license holder agreement form supplied by the Department of Human Services which is signed by the applicant and the agency;
C. reports and signed statements from specialists, and signed statements from the license holder, the license holder's children, and other household members concerning the physical health of the license holder, the license holder's children, and other household members;
D. a current completed commissioner's home safety checklist (D.S.-644) plus a written report from the fire marshal on any specific fire hazards, if required;
E. the prelicensing home study and supporting documentation;
F. references obtained through the licensing process;
G. a documented annual evaluation of the licensed foster home, conducted jointly by the license holder and the licensing agency, including, at a minimum:
H. documentation for any rule variance from this chapter; and
I. a record of training received by the license holder and staff, if any, and foster parents, including a list of training on medical equipment used to sustain life or monitor a medical condition.
Subp. 2. Foster child records.
The license holder must keep a record for each foster child in care. The record must include the child's medical records, which includes records of illnesses and medical care provided to the child; grievance records, including documentation of the grievance resolution; and other documentation as required by the child's case plan.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3200 Foster Residence License Holders
Subpart 1. Scope.
Parts 2960.3200 to 2960.3230 apply to foster homes which are foster residence settings.
Subp. 2. Purpose and applicability.
Parts 2960.3200 to 2960.3230 apply to foster homes in which the license holder does not reside at the licensed foster home. The foster residence setting license holder must meet the requirements of parts 2960.3200 to 2960.3230, in addition to the requirements of parts 2960.3000 to 2960.3100.
Subp. 3. Exemption.
The training and orientation requirements of part 2960.3070 do not apply to foster residence settings.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3210 Staff Training Requirements
Subpart 1. Orientation.
The license holder must ensure that all staff attend and successfully complete at least six hours of orientation training before having unsupervised contact with foster children. The number of hours of orientation training are not counted as part of the hours of annual training. Orientation training must include at least the topics in items A to F:
A. emergency procedures, including evacuation routes, emergency telephone numbers, severe storm and tornado procedures, and location of facility alarms and equipment;
B. relevant statutes and administrative rules and legal issues, including reporting requirements for abuse and neglect specified in Minnesota Statutes, chapter 260E and section 626.557, and other reporting requirements based on the ages of the children;
C. cultural diversity and gender sensitivity, culturally specific services, and information about discrimination and racial bias issues to ensure that caregivers have cultural sensitivity and will be culturally competent to care for children according to Minnesota Statutes, section 260C.212, subdivision 11;
D. general and special needs, including disability needs, of children and families served;
E. operational policies and procedures of the license holder; and
F. data practices regulations and issues.
Subp. 2. Personnel training.
The license holder must provide training for staff that is modified annually to meet the current needs of individual staff persons. The license holder must develop an annual training plan for employees that addresses items A to C.
A. Full-time and part-time direct care staff and volunteers must have sufficient training to accomplish their duties. To determine the type and amount of training an employee needs, the license holder must consider the foster care program's target population, services the program delivers, and outcomes expected from the services, as well as the employee's position description, tasks to be performed, and the performance indicators for the position. The license holder and staff who care for children who rely on medical equipment to sustain life or monitor a medical condition must meet the requirements of Minnesota Statutes, section 245A.155.
B. Full-time staff who have direct contact with children must complete at least 18 hours of in-service training per year. One-half of the training must be skill development training. Other foster home staff and volunteers must complete in-service training requirements consistent with their duties.
C. Part-time direct care staff must receive sufficient training to competently care for children. The amount of training must be provided at least at a ratio of one hour of training for each 60 hours worked, up to 18 hours of training per part-time employee per year.
Subp. 3. Documentation of training.
The license holder must document the date and number of hours of orientation and in-service training completed by each staff person in each topic area and the name of the entity that provided the training.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3220 Staffing Patterns and Personnel Policies
Subpart 1. Job descriptions.
The license holder must have written job descriptions for all position classifications and post assignments that define the responsibilities, duties, and qualifications staff need to perform those duties. The job descriptions must be readily available to all staff.
Subp. 2. Recruitment of culturally balanced staff.
To the extent permitted by law, it is the license holder's responsibility to actively recruit, hire, and retain staff who are responsive to the diversity of the population served. If the license holder's staffing plan does not meet the cultural and racial needs of the child, the license holder must document the reasons why and work with cultural or racial communities to meet the needs of the child. In addition, the license holder must contact a cultural or racial community group related to the child's racial or cultural minority background and seek information about how to provide opportunities for the child to associate with adult and peer role models with similar cultural and racial backgrounds on a regular basis.
Subp. 3. Professional licensure.
The license holder must keep records showing that staff's professional licensure which is related to staff's foster care duties is current.
Subp. 4. Staffing plan.
The license holder must prepare and obtain approval from the licensing agency of a written staffing plan that shows staff assignments and meets the needs of the children in care. The license holder must use the criteria in items A to D to develop the foster home's staffing plan.
A. The license holder must designate a person in charge at each facility.
B. In the temporary absence of the person designated as the person in charge at the facility, a different staff person must be designated as the person in charge of the facility.
C. The license holder must designate a person to coordinate volunteer services, if volunteers are used by the facility. The license holder must have a system for registration and identification of volunteers. Volunteers who have unsupervised contact with children must have a background check. The license holder must require volunteers to agree in writing to abide by facility policies. Volunteers must be trained and qualified to perform the duties assigned to them.
D. The staffing plan must be appropriate for the program services offered to the children, the physical plant features and characteristics of the facility, and the condition of the children in care. The license holder must consider the factors in subitems (1) to (8) when developing the staffing plan:
Subp. 5. License holder and staff qualifications.
The license holder and staff must have the education and experience required to meet the functions and program activities that the license holder declared in the foster home's statement of intended use according to part 2960.3000, subpart 4. The license holder must be a responsible, mature, healthy adult who is able to carry out the license holder's duties. The license holder must be able to accomplish the license holder's duties and meet the child's needs as stated in the child's case plan. Staff must be at least 21 years of age.
Subp. 6. Drug and alcohol use prohibited.
The license holder must have a policy regarding use of illegal drugs or alcohol by staff, volunteers, and contract employees while staff, volunteers, and contract employees care for or have contact with foster children. The license holder's policy must prohibit the use of illegal drugs and use of alcohol by staff and others while caring for foster children, and require that staff and others who use illegal drugs or use alcohol while caring for foster children are subject to dismissal.
Subp. 7. Medication administration.
The license holder must have a policy on medication administration by staff. The license holder's medication administration policy must, at a minimum, require that staff document medication administration errors.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3230 Communications and Documentation
Subpart 1. Communication plan.
The license holder must have a communication plan that ensures that all important information about a child is communicated to the license holder and staff. At a minimum, the communication plan must ensure that:
A. updated information about the child's needs, condition, care plan changes, medications, incidents, and other information which affects the health and safety of the child is documented and made available to staff and other persons who care for the child; and
B. staff who help the child meet care plan and treatment plan goals are given the information needed to carry out the staff's duties to help the child attain care plan and treatment plan goals.
Subp. 2. Documentation.
A license holder must:
A. maintain and make available to the commissioner of human services or corrections sufficient documentation to verify that all requirements of the rules governing the care of the child have been met;
B. keep and share the child's records according to the requirements of statute; and
C. collect demographic information about children and their families and outcome measures about the success of services that meet the requirements of Laws 1995, chapter 226, article 3, section 60, subdivision 2, clause (1)(iii).
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3300 Additional Requirements
A foster family setting license holder, who offers treatment foster care services, must meet the requirements of parts 2960.3300 to 2960.3340 in addition to the requirements of parts 2960.3000 to 2960.3100.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3310 Admission, Treatment, and Discharge
Subpart 1. Generally.
Treatment foster care serves children and youth whose special needs would place them at risk of placement in more restrictive residential settings such as hospitals, psychiatric centers, correctional facilities, or residential treatment programs.
Subp. 2. Admission.
Admission to a treatment foster care home must meet the requirements of items A and B.
A. Admission to a treatment foster care program is based on the recommendation of a licensed professional who is qualified to direct treatment and is familiar with the child's individual needs. The recommendation must be based on a diagnostic evaluation and recognize the reasons the child is at risk for placement in more restrictive residential settings. The recommendation must identify behavioral concerns to be addressed in a treatment plan.
B. Upon admission to a treatment foster care placement, a treatment team must be established for the child. Members of the treatment team are parents, treatment foster parents, county case manager, licensed professional directing treatment, treatment foster care social worker, and other persons identified by the team who are needed to develop and execute a comprehensive treatment plan.
Subp. 3. Treatment.
The child's treatment plan must be developed within ten days of admission and meet the requirements in items A to D.
A. The treatment goals in the treatment plan must address the child's needs as determined by a licensed professional directing treatment. The treatment plan must be consistent with the placement plans in Minnesota Statutes, section 260C.212, subdivisions 1 and 2, the case plan in Minnesota Statutes, section 260B.198, subdivision 5, or service plan in Minnesota Statutes, section 256B.092. The child's treatment goals must be measurable and identify desired treatment outcomes. Treatment foster parents shall document daily observations of the desired treatment outcomes.
B. The treatment plan must identify treatment strategies to be used with the child by the treatment foster parents.
C. The plan must identify specific supports and services the treatment foster parents will use with the child. Substitute and respite care services must be addressed in the plan.
D. The treatment team must develop the treatment plan and meet the requirements in subitems (1) to (3).
Subp. 4. Discharge.
The treatment plan must define outcomes and goals that the child needs to meet for discharge from treatment foster care. The unplanned discharge of a child must follow part 2960.3080, subpart 11. If an unplanned discharge is by the request of the treatment foster parents, the treatment foster care licensing agency shall document the review and evaluation of the treatment foster parent's skills to determine if the treatment foster parents had the appropriate skills to care for the discharged child.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211; L 2012 c 216 art 6 s 13
Minn. R. 2960.3320 Treatment Foster Care Requirements
Subpart 1. Treatment foster care provider qualifications.
In addition to the qualifications in parts 2960.3000 to 2960.3100, treatment foster parents must:
A. have previously been licensed as a foster parent for at least two years or have equivalent experience;
B. be able to carry out the treatment plan in the foster home;
C. ensure that the foster family is willing to accept children who need this level of service and are able to accept the increased involvement and supervision of treatment foster care;
D. ensure that the foster family is able to work as part of a treatment team to implement in-home treatment strategies and document the child's progress, as defined by the treatment plan and treatment team; and
E. have the commitment to work with the child, parents, and treatment team to set and implement strategies, which define outcomes that enable the child to live in the treatment foster home.
Subp. 2. Intended use.
The statement of intended use required by part 2960.3000, subpart 4, must indicate that the foster home will be used as a treatment foster care home. The licensing agency must deem the foster home to be a treatment foster care home and consider information from the license holder's statement of intended use in the home study.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3330 Treatment Foster Care Training
Subpart 1. Initial training required.
Each treatment foster parent must complete the training requirements in items A and B.
A. The treatment foster care social worker, in partnership with the treatment foster parents, shall write a professional development plan for the treatment foster parent which is based on the training needs of the treatment parents and the child's individual treatment plan requirements.
B. Each treatment foster care parent must complete 30 hours of primary skill development training prior to accepting a treatment foster care placement. The content of this training must be about at least the following topics: grief and loss, attachment, behavioral intervention, child development, discipline, dynamics of child abuse, children's mental health, substance abuse, cultural competency, treatment plan development and documentation, relationship building with primary families, and the role of medication in treatment.
Subp. 2. Annual training required.
Each treatment foster parent must complete 18 hours of annual training.
A. Annual training must be competency-based and emphasize skill development needed by the foster parent to care for the individual child placed in the home.
B. The training may be in various formats, including in-home training provided by treatment professionals, group presentations, or in-service training approved by the placing or licensing agency.
Subp. 3. Exemption.
Foster parents who provide treatment foster care and meet the training requirements of this part are exempt from the training requirements of parts 2960.3070 and 2960.3210.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Minn. R. 2960.3340 Treatment Foster Home Capacity
Subpart 1. Treatment foster home capacity.
The total number of treatment foster care children placed in one home shall not exceed two unless a variance is granted under subpart 3 for special circumstances. At no time shall a foster home exceed the capacity limits in part 2960.3030.
Subp. 2. Continuing care.
A treatment foster home may continue to provide care for a child after the child has attained the child's treatment goals to support the permanency goals in the child's case plan.
Subp. 3. Capacity limit variance.
The capacity variance conditions must ensure that the foster home will meet the individual treatment needs of the children in care and address specific vulnerabilities that may occur when children are placed together. The variance must identify added support services that will be offered to the treatment foster family to meet the needs of each child in the home and tell how the additional support services can be obtained. A variance granted to treatment foster care parents must also meet the requirements in part 2960.3020, subpart 9. A variance may be granted to allow the capacity of a treatment foster home to exceed two children, if one of the following special circumstances applies:
A. there is a need to place a sibling group together in the foster home; or
B. to place a child with foster parents with which the child had been previously placed.
History
- Statutory Authority: L 1995 c 226 art 3 s 60; MS s 241.021; 245A.03; 245A.09
- History: 28 SR 211
Chapter 3400 CHILD CARE FUND
Minn. R. 3400.0010 Purpose and Applicability
Subpart 1. Purpose.
The purpose of this chapter is to:
A. govern the administration of the child care fund, to reduce, according to a sliding fee schedule, the costs of child care services for eligible families to enable them to seek or retain employment or to participate in education or training programs to obtain employment; and
B. provide eligible families with financial resources to find and afford quality child care supporting their children's development, school readiness, and well-being. This chapter establishes child care assistance eligibility and child care assistance authorization standards for participants and registered child care providers and administrative requirements for child care assistance program (CCAP) agencies administering the child care fund.
Subp. 2. Applicability.
This chapter applies to all CCAP agencies providing child care assistance services to eligible families, registered child care providers, and child care providers seeking to register for child care assistance under Minnesota Statutes, chapter 119B.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; L 1999 c 205 art 5 s 21; 26 SR 253; 47 SR 391
Minn. R. 3400.0020 Definitions
Subpart 1. Scope.
In parts 3400.0010 to 3400.0230, the terms defined in Minnesota Statutes, section 119B.011, have the meanings given them in that section, and the following terms have the meanings given them in this part.
Subp. 1a. 12-month eligibility period.
"12-month eligibility period" means the time period after a CCAP agency has approved a family's application or completed a redetermination of a family's eligibility until the family's next eligibility determination.
Subp. 1b. 12-month reporter.
"12-month reporter" means a family that is not a schedule reporter.
Subp. 1c. 15-day adverse action notice.
"15-day adverse action notice" means the written notification that a family or child care provider receives 15 days in advance of a negative action impacting the family's or child care provider's eligibility or authorization.
Subp. 1d. A setting subject to public education standards.
"A setting subject to public education standards" means an education program that meets the state's expectations for student learning in K-12 public schools, such as Head Start programs and prekindergarten or school-age care programs.
Subp. 1e. Activity schedule.
"Activity schedule" means the days and times when a parentally responsible individual works, attends school, or participates in an authorized activity allowed by Minnesota Statutes, section 119B.05, subdivision 1. When a parentally responsible individual has a job with a flexible schedule, activity schedule means the typical days and times that the parentally responsible individual works or the possible days and times when the parentally responsible individual may work.
Subp. 2.
[Repealed, 26 SR 253]
Subp. 3.
[Repealed, 26 SR 253]
Subp. 4.
[Repealed, 47 SR 391]
Subp. 5. Administrative expenses.
"Administrative expenses" means costs associated with the direct services administration of the child care fund. Administrative expenses include:
A. salaries, wages, and related payroll expenses that a CCAP agency incurs in the administration of the child care fund, including direct personnel costs, expenses for general administration and supervision, and expenses for secretarial, clerical, accounting, and other support services;
B. travel and transportation and per diem or subsistence expenses;
C. expenses for materials and office supplies;
D. publication, telephone, postage, and photocopy expenses; and
E. other expenses directly attributable to the child care fund.
Subp. 6.
[Repealed, 26 SR 253]
Subp. 7.
[Repealed, 26 SR 253]
Subp. 8. Allocation.
"Allocation" means the share of the total state appropriation of money from the child care fund that a county or Tribe may earn and use during an allocation period. The commissioner may raise or lower a county's or Tribe's allocation during the allocation period when the commissioner redistributes unexpended or unencumbered allocations or when additional money becomes available.
Subp. 9.
[Repealed, 26 SR 253]
Subp. 9a.
[Renumbered subp 11a]
Subp. 9a. Authorized activity.
"Authorized activity" means a parentally responsible individual is seeking employment or participating in an employment, education, or training program as allowed by Minnesota Statutes, section 119B.10, or an MFIP family participating in an authorized activity as allowed by Minnesota Statutes, section 119B.05, subdivision 1.
Subp. 10.
[Repealed, 26 SR 253]
Subp. 10a. Authorized hours.
"Authorized hours" means the number of hours in a service period, not to exceed the maximum hour limit established in Minnesota Statutes, section 119B.09, subdivision 6, payable for a child from the child care fund.
Subp. 10b. Back-up child care provider.
"Back-up child care provider" means a child care provider that meets the criteria of part 3400.0120, subpart 1, and cares for a child on a sporadic basis when the child's primary or secondary child care provider is unavailable.
Subp. 10c. Certified license-exempt child care center.
"Certified license-exempt child care center" has the meaning given in Minnesota Statutes, section 245H.01.
Subp. 11.
[Repealed, 26 SR 253]
Subp. 11a. Child in an at-risk population.
"Child in an at-risk population" means a child with environmental or familial factors that may create barriers to the child's optimal achievement, such as a federal or state disaster, limited English proficiency in a family, a history of abuse or neglect, a determination that the child is at risk of abuse or neglect, family violence, homelessness, the age of the child's mother, the level of maternal education, mental illness, a developmental disability, parental chemical dependency, or a history of other substance abuse.
Subp. 12. Child care assistance.
"Child care assistance" means financial assistance for child care that is funded under Minnesota Statutes, sections 119B.011 to 119B.16.
Subp. 12a. Child care assistance household.
"Child care assistance household" means individuals living in the same home, including individuals who are temporarily absent from the home, who are a family as defined by Minnesota Statutes, section 119B.011, subdivision 13.
Subp. 12b. Child care assistance program.
"Child care assistance program" means financial assistance for child care costs. The child care assistance program supports a parentally responsible individual with a low income who is employed, engaged in a job search, or engaged in education. The child care assistance program ensures that children of parentally responsible individuals have access to child care and thrive as successful learners.
Subp. 12c. Child care center employee.
"Child care center employee" means:
A. a person employed by a licensed or certified license-exempt child care center;
B. a person who is not employed by a licensed or certified license-exempt child care center who has direct contact with children that the center serves and who has a background study required by Minnesota Statutes, section 245C.03, subdivision 1, paragraph (a), clause (3);
C. a person who is a contractor under Minnesota Statutes, section 245C.02, subdivision 9; or
D. a person who is a child care staff member under Code of Federal Regulations, title 45, section 98.43(a)(2)(ii).
Subp. 12d. Commissioner.
"Commissioner" means the commissioner of the state agency that supervises the child care assistance program.
Subp. 12e. Copayment.
"Copayment" means the amount that a family must contribute to child care costs as determined under Minnesota Statutes, section 119B.12.
Subp. 12f. Child care assistance program agency or CCAP agency.
"Child care assistance program agency" or "CCAP agency" means a county agency, Tribal agency, or subcontracted agency designated by the county board or Tribal council to administer the child care assistance program (CCAP).
Subp. 12g. Department.
"Department" means the state agency that supervises the child care assistance program.
Subp. 13.
[Repealed, 26 SR 253]
Subp. 14.
[Repealed, 26 SR 253]
Subp. 15.
[Repealed, 26 SR 253]
Subp. 16.
[Repealed, 26 SR 253]
Subp. 17.
[Repealed, 26 SR 253]
Subp. 17a. Disability.
"Disability" means a functional limitation or health condition that interferes with a child's ability to walk, talk, see, hear, breathe, or learn.
Subp. 18. Documentation.
"Documentation" means a written statement or record, including an electronic record, that substantiates or validates an assertion made by a person or an action taken by a CCAP agency.
Subp. 18a. DWP.
"DWP" means the diversionary work program established in Minnesota Statutes, section 256J.95.
Subp. 19.
[Repealed, 26 SR 253]
Subp. 20. Eligible relative caregiver.
"Eligible relative caregiver" means a person identified under Minnesota Statutes, section 256J.08, subdivision 11, (1) who is a caregiver of a child receiving an MFIP child-only grant or (2) who is a caregiver receiving an MFIP grant and the MFIP caregiver of a child. A person has the status of an eligible relative caregiver for child care assistance if the person is a caregiver receiving assistance under Minnesota Statutes, chapter 256J. After an eligible relative caregiver begins receiving child care assistance, the eligible relative caregiver retains eligible caregiver status for all child care assistance programs until there is a break in the eligible relative caregiver's eligibility for child care assistance.
Subp. 20a. Extended eligibility.
"Extended eligibility" means that a family continues to be eligible for child care assistance for up to three months or until the family's redetermination, whichever occurs first, after a parentally responsible individual experiences a permanent end to the individual's only authorized activity or when another parentally responsible individual moves into the household and is not participating in an authorized activity. During a family's extended eligibility period, a CCAP agency must not reduce the family's authorized amount of child care unless the family requests a reduction of the authorized amount of child care.
Subp. 21.
[Repealed, 26 SR 253]
Subp. 22.
[Repealed, 26 SR 253]
Subp. 23.
[Repealed, 26 SR 253]
Subp. 24.
[Repealed, 47 SR 391]
Subp. 25. Full calendar month.
"Full calendar month" means from the first day of a month through the last day of that month.
Subp. 26. Full-day basis.
"Full-day basis" means child care that a family has scheduled and a CCAP agency has authorized with a child care provider for more than five hours per day.
Subp. 27.
[Repealed, 30 SR 1318]
Subp. 28. Household status.
"Household status" means the number of individuals residing in the household and the relationship of the individuals to one another.
Subp. 28a. Imminent risk.
"Imminent risk" means an immediate and impending threat to the health, safety, or rights of a child while in the care of a child care provider.
Subp. 29.
[Repealed, 26 SR 253]
Subp. 29a. Immunization record.
"Immunization record" means the statement described in Minnesota Statutes, section 121A.15, subdivision 1; 3, paragraph (c) or (d); or 4.
Subp. 30.
[Repealed, 26 SR 253]
Subp. 31.
[Repealed, 26 SR 253]
Subp. 31a.
MR 2001 [Removed, L 2003 1Sp14 art 1 s 106]
Subp. 31b. Legal guardian.
"Legal guardian" means a person who has been appointed or accepted as a guardian according to Minnesota Statutes, section 260C.325, 524.5-201, 524.5-202, or 524.5-204 under tribal law.
Subp. 31c. Legal nonlicensed child care setting.
"Legal nonlicensed child care setting" means the indoor and outdoor space where a legal nonlicensed child care provider provides child care.
Subp. 31d. Licensed child care center.
"Licensed child care center" means a child care program operating at a facility requiring a license under Minnesota Statutes, chapter 245A. A licensed child care center is not excluded from licensure under Minnesota Statutes, section 245A.03, subdivision 2, and is not required to be licensed under parts 9502.0315 to 9502.0445 as a family or group family day care home.
Subp. 31e. Licensed family child care provider.
"Licensed family child care provider" means:
A. an individual who is licensed to provide child care under Minnesota Statutes, chapter 245A, when the individual operates as a child care provider within the terms of the license;
B. an individual who: (1) holds a valid child care license issued by another state or a Tribe; (2) provides child care services in the licensing state or in the area under the licensing Tribe's jurisdiction; and (3) is in compliance with federal health and safety requirements certified by the licensing state or Tribe or determined by the receipt of child care development block grant funds in the licensing state; or
C. an individual who provides child care while operating under the jurisdiction of the federal government.
Subp. 31f. Lump sum.
"Lump sum" means money or payments that a family receives on a nonrecurring or irregular basis, such as child support arrears, an inheritance, an insurance payment, or gambling winnings.
Subp. 32.
[Repealed, 26 SR 253]
Subp. 32a.
[Repealed, 33 SR 695]
Subp. 32b. Minimum wage.
"Minimum wage" means the minimum wage applicable under Minnesota Statutes, chapter 177, and under Code of Federal Regulations, title 29, part 531, to the applicant or participant or the premises where the applicant or participant is employed.
Subp. 33. Overpayment.
"Overpayment" means the portion of a child care payment that is greater than the amount for which a recipient is eligible or greater than the amount that a child care provider should have received.
Subp. 34.
[Repealed, 26 SR 253]
Subp. 34a. Participant.
"Participant" means a family receiving child care assistance under the child care fund.
Subp. 34b. Parentally responsible individual.
"Parentally responsible individual" means a parent, stepparent, legal guardian, eligible relative caregiver, or eligible relative caregiver's spouse who is a member of the child care assistance family as defined under Minnesota Statutes, section 119B.011, subdivision 13, and who resides in the household that applies for child care assistance.
Subp. 34c. Permanent end of an authorized activity.
"Permanent end of an authorized activity" means a parentally responsible individual is no longer participating in an authorized activity as allowed under subpart 9a.
Subp. 34d. Portability pool child care assistance.
"Portability pool child care assistance" means continuous child care assistance for eligible families who move between Minnesota counties under Minnesota Statutes, section 119B.03, subdivision 9.
Subp. 35. Provider rate.
"Provider rate" means the amount that the child care provider charges for child care.
Subp. 36.
[Repealed, 26 SR 253]
Subp. 37. Redetermination.
"Redetermination" means the process by which information is collected by a CCAP agency and that the CCAP agency uses to determine whether a participant is eligible for continued assistance from the child care fund.
Subp. 37a. Related to the child care provider.
"Related to the child care provider" means that the legal nonlicensed child care provider under Minnesota Statutes, section 119B.011, subdivision 16, is the child's sibling, aunt, uncle, grandparent, or great-grandparent, based on a blood relationship, marriage, or court decree.
Subp. 38.
[Repealed, 47 SR 391]
Subp. 38a. Residence.
"Residence" means the primary place where the family lives as identified by the applicant or participant.
Subp. 38b. Scheduled hours.
"Scheduled hours" means the specific days and hours during a service period that a child will attend child care as determined by the CCAP agency, the parentally responsible individual, and the child care provider based on the parentally responsible individual's verified authorized activity schedule, the child's school schedule, and any other factors relevant to the family's child care needs.
Subp. 38c. Schedule reporter.
"Schedule reporter" means a family that meets at least one of the following criteria:
A. a parentally responsible individual in the family is employed by a child care center licensed by the Minnesota Department of Human Services;
B. at least one child in the family is authorized for child care assistance with a legal nonlicensed child care provider; or
C. at least one child in the family is authorized for child care assistance with more than one child care provider.
Subp. 38d. Service period.
"Service period" means the biweekly period that the child care assistance program uses for billing and payment purposes.
Subp. 39. State median income.
"State median income" means the state's annual median income for a family of three, adjusted for family size, developed by the United States Bureau of the Census.
Subp. 39a. Student parent.
"Student parent" means a person who meets the criteria in Minnesota Statutes, section 119B.011, subdivision 19b, who is not eligible for transition year child care.
Subp. 40. Student.
"Student" means an individual enrolled in an education program as defined in Minnesota Statutes, section 119B.011, subdivision 11. A student's full-time or part-time status is defined by the student's educational institution.
Subp. 40a. Temporarily absent.
"Temporarily absent" means that a family member included in the child care assistance program household is living away from the family's residence and intends to return to the residence after a temporary absence. A temporarily absent adult who is in an authorized activity is not subject to the 60-day limit under Minnesota Statutes, section 119B.011, subdivision 13. Temporary absences include circumstances under which a family member is away from the household such as:
A. a family member who attends a school away from home;
B. a family member in foster care;
C. a family member in a residential treatment facility;
D. a family member in military service;
E. a family member in a rehabilitation program; and
F. an incarcerated family member.
Subp. 40b. Transition year child care.
"Transition year child care" means child care assistance that an eligible family under Minnesota Statutes, section 119B.011, subdivision 20, may use to support a parentally responsible individual's employment, education, or job search.
Subp. 40c. Unable to care.
"Unable to care" means that a parentally responsible individual is not capable of adequately caring for or supervising a child.
Subp. 40d. Unsafe care.
"Unsafe care" means that a CCAP agency knows or has reason to believe that a child care provider is unsafe or the circumstances of the chosen child care arrangement are unsafe under Minnesota Statutes, section 119B.125, subdivision 4.
Subp. 40e. Verification.
"Verification" means a written statement or record, in any form, including an electronic record, that substantiates or validates an assertion that a person makes. Information that a person reports on an application, at redetermination, or on a reporting form does not qualify as a verification.
Subp. 40f. Verified activity schedule.
"Verified activity schedule" means a written statement or record that substantiates or validates the days and times when a parentally responsible individual works, attends school, or participates in an authorized activity under Minnesota Statutes, section 119B.05, subdivision 1.
Subp. 41.
[Repealed, 26 SR 253]
Subp. 42.
[Repealed, 26 SR 253]
Subp. 43.
[Repealed, 26 SR 253]
Subp. 44. Weekly basis.
"Weekly basis" means child care that a CCAP agency authorizes with a child care provider for more than 35 hours per week.
History
- Statutory Authority: MS s 14.3895; 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; L 1994 c 483 s 1; L 1995 1Sp3 art 16 s 13; L 1999 c 205 art 5 s 21; 26 SR 253; L 2003 1Sp14 art 1 s 106; L 2005 c 10 art 4 s 29; L 2005 c 56 s 2; 30 SR 1318; 33 SR 695; 47 SR 391
Minn. R. 3400.0030 [Repealed, 47 SR 391]
[Repealed, 47 SR 391]
Minn. R. 3400.0035 Application Procedure
Subpart 1. Information requests.
When a family asks for information about paying for child care, a CCAP agency must give the family information supplied by the commissioner about the following items:
A. the child care assistance program and eligibility requirements;
B. federal and state child and dependent care tax credits;
C. federal earned income tax credits;
D. Minnesota working family credits;
E. early childhood family education, school readiness, and Head Start programs;
F. early childhood screening;
G. health care programs, including health care programs for children in Minnesota;
H. child care resource and referral services;
I. financial assistance for families, including early learning scholarships established by Minnesota Statutes, section 124D.165, and the postsecondary child care grant program established by Minnesota Statutes, section 136A.125; and
J. other programs and services for young children and families.
Subp. 1a. Child care assistance requests.
When a family requests an application for child care assistance, a CCAP agency must give the family an application or provide information about how to submit an application electronically. When a family applies for child care assistance, a CCAP agency must give the family the information in subpart 1 and the following information:
A. the eligibility requirements for the child care fund;
B. the documentation necessary to confirm a family's eligibility;
C. if a waiting list exists, the number of families on the waiting list or the estimated time that the applicant will spend on the waiting list before reaching the top of the list;
D. the procedure for applying for child care assistance;
E. the requirement to pay a copayment based on a family's size and income;
F. how to choose a child care provider;
G. a family's rights and responsibilities when choosing a child care provider;
H. special needs rates;
I. a family's responsibility for paying child care provider charges that exceed the maximum child care payment in addition to the copayment; and
J. the family's reporting responsibilities under part 3400.0040, subpart 4.
Subp. 1b. Application for child care assistance.
A family must apply for child care assistance in the family's county of residence.
Subp. 2. Accepting and processing applications.
A CCAP agency must accept all signed and dated applications for child care assistance that the CCAP agency receives. A CCAP agency must accept an application from an applicant who does not reside in a county served by the CCAP agency or who does not meet the Tribal CCAP agency's criteria for families that the Tribal CCAP agency serves. If a CCAP agency receives an application from an applicant who does not reside in a county served by the CCAP agency or who does not meet the Tribal CCAP agency's criteria for families that the Tribal CCAP agency serves, the agency must immediately forward the application to a CCAP agency that may serve the applicant's family based on the family's place of residence or forward to a Tribal CCAP agency if the applicant meets the Tribal CCAP agency's criteria for families that the Tribal CCAP agency serves.
Subp. 2a. Application processing for family experiencing homelessness.
An applicant is not eligible for expedited application processing under Minnesota Statutes, section 119B.025, subdivision 1, paragraph (c), if less than six months have passed from the date that a CCAP agency approved a previous application using expedited application processing.
Subp. 3. Informational release.
A. When the CCAP agency determines that an applicant may be eligible for child care assistance but is unable to document the applicant's eligibility for the program, the CCAP agency must offer an applicant the opportunity to sign an informational release to permit the CCAP agency to verify whether an applicant qualifies for child care assistance.
B. A CCAP agency must obtain a signed informational release from a family to permit the CCAP agency to give the family's child care provider additional information that is not required by part 3400.0185, subparts 9, 11, and 13, and Minnesota Statutes, section 119B.13, subdivision 5.
C. The CCAP agency must give the applicant the information required by Minnesota Statutes, section 13.04, subdivision 2.
Subp. 4.
[Repealed, 47 SR 391]
Subp. 5.
[Repealed, 47 SR 391]
Subp. 6.
[Repealed, 47 SR 391]
Subp. 7. Selection of child care provider.
An applicant must select a child care provider and the child care provider must meet the criteria in part 3400.0120, subpart 1, before a CCAP agency authorizes a child to receive child care from the child care provider and issues payments to the child care provider from the child care fund. The same criteria applies if a parentally responsible individual selects a child care provider at a time other than at the time of application.
Subp. 8. Selection of legal nonlicensed child care provider.
Before a CCAP agency authorizes child care with a legal nonlicensed child care provider, an applicant or participant who selects a legal nonlicensed child care provider must sign a document that contains:
A. a description of the registration process for a legal nonlicensed child care provider;
B. a description of the parentally responsible individual's rights and responsibilities when choosing a child care provider;
C. an acknowledgment that the parentally responsible individual and the legal nonlicensed child care provider have reviewed the health and safety information provided during the registration process;
D. an assurance that the parentally responsible individual will provide an immunization record for each of the parentally responsible individual's children to the legal nonlicensed child care provider within 30 days of the date that the CCAP agency authorizes child care to begin for each child and will give the legal nonlicensed child care provider the information necessary to update each child's immunization record;
E. an acknowledgment that the legal nonlicensed child care provider does not share a home or residence with a child whose family is applying for or receiving child care assistance;
F. an acknowledgment that the legal nonlicensed child care provider must complete training as outlined in part 3400.0120, subpart 6, and Minnesota Statutes, section 119B.125, subdivision 1b, before the CCAP agency authorizes the legal nonlicensed child care provider to provide child care for the child; and
G. an acknowledgment that if the CCAP agency knows that the child care provider is unsafe or that the circumstances of the child care arrangement are unsafe, the CCAP agency may deny CCAP payments to the child care provider.
Subp. 9. Selection of in-home child care provider.
A CCAP agency must inform an applicant or a participant who selects a child care provider to provide child care in the applicant's or participant's home that selecting an in-home child care provider creates an employer/employee relationship between the parent and the child care provider. If an applicant or participant selects an in-home child care provider, a CCAP agency must refer the applicant or participant to resources that are available for more information about the applicable legal rights and responsibilities.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01
- History: 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0040 Eligibility Requirements and Standards
Subpart 1. Applicant requirements and standards.
All applicants for child care assistance and all child care assistance program participants must meet the standards and requirements in this part in addition to the eligibility requirements in part 3400.0060, 3400.0080, or 3400.0090 for the child care program for which the person is applying or in which the person is participating.
Subp. 2.
[Repealed, 26 SR 253]
Subp. 3. Verification requirements at application.
A. In addition to the requirements in Minnesota Statutes, section 119B.025, subdivision 1, an applicant for child care assistance must provide verification to a CCAP agency of:
B. At the time of application for child care assistance, a family may verify:
C. For a CCAP agency to authorize care of children at the time of application, an eligible family must:
D. An applicant must have at least one child who meets the citizenship or immigration status requirement in the Federal Child Care and Development Fund, Code of Federal Regulations, title 45, section 98.20(c), or who is receiving child care in a setting subject to public education standards. For a CCAP agency to authorize care of a child, a family must verify the child's citizenship or immigration status unless a setting subject to public education standards is providing care for the child.
E. A CCAP agency must determine an applicant's eligibility for child care assistance within the time frames in Minnesota Statutes, section 119B.025, subdivision 1.
Subp. 4. Participant reporting responsibilities.
A. In addition to the reporting requirements in Minnesota Statutes, sections 119B.03, subdivision 9, and 256P.07, subdivisions 3 and 6, a family must report the following information to a CCAP agency within ten calendar days:
B. In addition to the reporting requirements in item A, a schedule reporter must report the following changes to a CCAP agency within ten calendar days of the change:
C. A family must notify a CCAP agency and the family's child care provider of the family's intent to change child care providers at least 15 calendar days in advance of the date when the change takes effect. A family is not required to notify a CCAP agency and the child care provider 15 calendar days in advance of the date when the change takes effect under one of the following conditions:
D. A participant may report a change to the CCAP agency in person, by telephone, by facsimile, by mail, electronically, by email, or on a change reporting form.
Subp. 4a. Verification requirements during 12-month eligibility period.
A. A CCAP agency must request verification of a change when a 12-month reporter or a schedule reporter reports any of the following changes during the 12-month eligibility period:
B. The CCAP agency must request verification of a change when a 12-month reporter reports any of the following changes during the 12-month eligibility period:
C. A CCAP agency must request verification of a change when a schedule reporter reports any of the following changes during the 12-month eligibility period:
D. When a family's reported and verified change results in an increase in authorized child care hours, a CCAP agency must increase the amount of the family's authorized child care.
Subp. 5. Employment, education, and training requirements.
In a family with a single parentally responsible individual, or unmarried legal guardian or eligible relative caregiver, the applicant or participant must meet employment, education, or training requirements and other eligibility requirements in this part and in part 3400.0060, 3400.0080, or 3400.0090 for the child care assistance program for which the family is applying or in which the family is participating.
In a family with more than one parentally responsible individual or any combination of parents, stepparents, legal guardians and spouses, and eligible relative caregivers and spouses, at least one parent, legal guardian, eligible relative caregiver, or spouse must meet employment, education, or training requirements and other eligibility requirements in this part and in part 3400.0060, 3400.0080, or 3400.0090 for the child care assistance program for which the family is applying or participating in. The other parents, legal guardians, eligible relative caregivers, or spouses must:
A. meet the employment, education, or training requirements and other eligibility requirements in this part and part 3400.0060, 3400.0080, or 3400.0090 for the child care assistance program for which the family is applying or participating in; or
B. be unable to care for the applicant's or participant's child or dependent as determined by a licensed physician, licensed psychologist, licensed psychiatrist, or licensed social worker. The status of a parentally responsible individual who is unable to care for the child is permanent when the parentally responsible individual's condition is ongoing and unlikely to improve, or temporary when the individual's condition has an expected or defined end date.
Subp. 5a. Child support cooperation.
A. All applicants and participants of the child care assistance program must cooperate with child support obligations under Minnesota Statutes, section 119B.09, subdivision 1, paragraph (c).
B. A family cooperating with child support at application is retroactively eligible for child care assistance within the time frames in Minnesota Statutes, section 119B.09, subdivision 7, paragraph (c).
C. A CCAP agency must deny an application for child care assistance if the applicant is not cooperating with child support by the end of the application processing time frame in Minnesota Statutes, section 119B.025, subdivision 1, paragraph (b).
D. A CCAP agency must terminate a family's eligibility when the family is not cooperating with child support at the time of redetermination. If a family meets the requirements in Minnesota Statutes, section 119B.025, subdivision 3, paragraph (c), clause (1), and cooperates with child support within 30 days after the date that the redetermination was due, a CCAP agency must reinstate the family's eligibility retroactively from the date that the family's eligibility ended.
E. The child care portion of the child support order for children receiving child care assistance must be assigned to the public authority as provided in Minnesota Statutes, section 256.741.
Subp. 5b. Assets.
To be eligible for child care assistance, a family's countable assets must not exceed $1,000,000.
A. Countable assets include:
B. When a family declares or reports that the family's assets exceed $1,000,000, a CCAP agency must request verification of the family's assets. A CCAP agency must allow a family 15 calendar days to return the verification. If the verification confirms that the value of a family's countable assets is over $1,000,000 or if a family does not return the verification, a CCAP agency must deny the family's application or terminate the family's eligibility with a 15-day adverse action notice.
Subp. 6.
[Repealed, 26 SR 253]
Subp. 6a. Ineligibility due to failure to pay fees under the child care fund.
A. A family that fails to pay the required copayment under Minnesota Statutes, section 119B.09, subdivision 1, paragraph (d), is ineligible for child care assistance until the family pays the fees or until the family reaches an agreement for payment with the child care provider and the CCAP agency and continues to comply with the payment agreement.
B. When a child care provider provides child care in a child's home and the child's family fails to pay the child care provider the amount of the child care assistance payment, the family is ineligible for child care assistance until the family makes the child care assistance payment or until the family reaches an agreement for payment with the child care provider and the CCAP agency and continues to comply with the payment agreement.
Subp. 6b. Ineligibility for failure to pay overpayments.
A family with an outstanding overpayment is ineligible for child care assistance until the overpayment is paid in full or until the family arranges to repay the overpayment according to part 3400.0187 and then continues to comply with the repayment agreement.
Subp. 6c. Date of eligibility for child care assistance.
A CCAP agency must determine the date of a family's eligibility for child care assistance under parts 3400.0060 and 3400.0080 according to Minnesota Statutes, section 119B.09, subdivision 7. The date of eligibility for child care assistance under part 3400.0090 begins on the date that a family's MFIP or DWP case closed.
Subp. 7.
[Repealed, 47 SR 391]
Subp. 8. Child care assistance during employment.
A. In addition to meeting other eligibility requirements, an employed person who is eligible for child care assistance under part 3400.0060, 3400.0080, or 3400.0090 must work at least an average of 20 hours per week and receive at least minimum wage for all hours that the employed person works. An employed person who is eligible for child care assistance under part 3400.0080 is exempt from this requirement if the person's work is an authorized activity in an approved employment plan that allows fewer work hours or a lower wage.
B. A CCAP agency and an applicant or participant must determine a length of time, not to exceed the most recent six months, over which the number of hours that an employed person works weekly is averaged and counted toward the applicant or participant meeting the average of 20 hours per week requirement.
C. When a participant does not receive an hourly wage, the participant's earned income over a given period must be divided by the minimum wage to determine whether the participant has met the requirement to average at least 20 hours of work per week at minimum wage.
D. A CCAP agency must authorize child care assistance during a parentally responsible individual's employment for the number of hours that the individual is scheduled to work, including break and meal time during the individual's employment, and up to two hours per day for the individual's travel time.
E. An employed person must meet minimum work requirements under item A at application, redetermination, or upon completing a job search. If a parentally responsible individual's work hours decrease below 20 hours per week or if the parentally responsible individual's wage drops below minimum wage during the 12-month eligibility period, the parentally responsible individual's eligibility for child care assistance continues until redetermination.
Subp. 9. Child care assistance in support of employment.
A CCAP agency must authorize child care assistance in support of employment for nonwork hours to an employed person who is eligible for child care assistance under parts 3400.0060 and 3400.0090, and an employed person who is eligible for child care assistance under part 3400.0080 without an approved employment plan, when the following conditions exist:
A. the employee cannot reasonably modify the employee's nonwork schedule to provide child care; and
B. the child care assistance does not exceed the amount of child care assistance that would be granted under subpart 8, item D, during employment.
Subp. 10. Child care assistance during education or training.
A CCAP agency must provide child care assistance to a student who is eligible for child care assistance under part 3400.0060, 3400.0080, or 3400.0090 and enrolled in a CCAP agency-approved education or training program or employment plan according to items A to E.
A. A CCAP agency must authorize child care for a student who is eligible under parts 3400.0060 and 3400.0090 as necessary for:
B. A CCAP agency must authorize child care for a student who is eligible for child care assistance under part 3400.0080 according to an approved employment plan.
C. Child care assistance for basic or remedial classes is subject to CCAP agency approval under subpart 12. Upon CCAP agency approval of a basic or remedial education program, a CCAP agency must authorize the necessary child care assistance hours that enable the student to attend classes and to complete class assignments.
D. If a family who is eligible for child care assistance under part 3400.0060 or 3400.0090 had an approved education plan with a CCAP agency and the family begins receiving services from another CCAP agency, the education plan remains in effect until the family's next redetermination or until the family requests a change. When another CCAP agency redetermines the family's eligibility at redetermination, the student's education plan is subject to the CCAP agency's approval, rejection, or modification.
E. A student taking a school break who is expected to return to school following the break remains eligible for child care assistance during the school break. For 12-month reporters, a CCAP agency must not reduce authorized child care hours or terminate child care authorizations during school breaks. Notwithstanding item B, for schedule reporters, a CCAP agency must:
Subp. 11. Child care assistance during employment and during education or training.
A. Employed students, including students on work study programs, are eligible for child care assistance during employment and education or training. A CCAP agency must follow the standards in subparts 8 and 10 to determine the amount of child care assistance hours to authorize.
B. At the time of application and redetermination, a full-time student who requests child care during the student's employment must work an average of at least ten hours per week for which the student receives minimum wage. A full-time student retains full-time status during school breaks, including summers, if the student is expected to return to school full time after the break.
C. At the time of application and redetermination, a part-time student who requests child care during employment must work an average of at least 20 hours per week for which the student receives minimum wage.
D. To determine whether an employed student meets the hourly minimum wage requirement in this subpart, a CCAP agency must count the student's work-study hours and income as employment.
E. A student who is eligible for child care assistance under part 3400.0080 is exempt from the minimum hours per week requirement and the minimum wage requirement if the student has an approved employment plan that allows fewer work hours or a lower wage than the minimum otherwise required.
Subp. 12. Acceptable course of study.
An acceptable course of study for a student who is eligible for child care assistance under part 3400.0060 or 3400.0090 is an education or training program approved by the CCAP agency according to the standards in the CCAP agency's child care fund plan that will reasonably lead to full-time employment. An acceptable course of study for a student who is eligible for child care assistance under part 3400.0080 is an approved education or training program described in the MFIP participant's employment plan.
Subp. 13. Satisfactory progress in education or training program.
Subject to the limitation in subpart 14, a CCAP agency must provide child care assistance to a student with an approved education or training program during the time of the student's education or training program if the student is making satisfactory progress. Satisfactory progress in the education or training program means that a student remains in good academic standing as determined by the educational institution and meets the requirements of the student's education plan under part 3400.0060 or 3400.0090, or employment plan under part 3400.0080. A CCAP agency must not terminate a student's approved education plan during the 12-month eligibility period. At redetermination, if a CCAP agency receives documentation from an educational institution demonstrating that a student is not making satisfactory progress toward completion of an education or training program, the CCAP agency must notify the student and terminate approval of the student's education plan with a 15-day adverse action notice.
Subp. 14. Maximum education or training under child care fund.
The maximum length of time that a student is eligible for child care assistance under the child care fund for education or training is described in items A to E.
A. A student eligible under part 3400.0060 is eligible for child care assistance according to Minnesota Statutes, section 119B.10.
B. A student eligible under part 3400.0080 is eligible for child care assistance for the length of time necessary to complete authorized activities in the student's employment plan according to the standards in Minnesota Statutes, chapter 256J.
C. A student who is eligible under part 3400.0090 is eligible for child care assistance according to Minnesota Statutes, section 119B.10.
D. A student who is eligible under part 3400.0060 or 3400.0090 who has completed or who has participated in but failed to complete an education or training program under the child care fund is eligible to receive child care assistance for a second education or training program if:
E. A student who is eligible under part 3400.0060 or 3400.0090 with a baccalaureate degree is only eligible to receive child care assistance for education or training if the education or training is for continuing education units, certification, or coursework that is related to the baccalaureate degree or current employment and that is necessary to update credentials to obtain or retain employment.
Subp. 15. Changes in education or training programs.
A proposed change in an education or training program for a participant who is eligible for child care assistance under parts 3400.0060 and 3400.0090 is subject to CCAP agency approval before the participant makes the change. A CCAP agency must describe the approval policy for a participant's change to an education or training program in the CCAP agency's child care fund plan. A CCAP agency must not deny a request for a change in an education or training program when the student requesting the change demonstrates that changing a course or focus of study is necessary for reasons related to the health and safety of the student.
Subp. 15a. Child care assistance during job search.
A. A CCAP agency must provide child care assistance to an applicant or participant at application and redetermination for job search activities as required by Minnesota Statutes, section 119B.10, subdivision 1, and for no more than 40 hours in a service period if the applicant or participant is:
B. For an applicant or a participant who is eligible under part 3400.0080 with an employment plan that includes a job search as an authorized activity, a CCAP agency must provide child care assistance to the applicant or participant for job search activities for the number of hours in the applicant's or participant's approved employment plan for job search activities.
C. A CCAP agency must not authorize a job search in combination with any other activity for an applicant or a participant who is eligible under item A.
D. Job search includes locating and contacting potential employers, preparing for interviews, interviewing, and up to two hours of travel time per day.
Subp. 16.
[Repealed, 26 SR 253]
Subp. 17. Temporary ineligibility for participants.
A CCAP agency must reserve a family's position under the child care fund if a family has been receiving child care assistance but is temporarily ineligible for assistance. A child care assistance participant who is a student may be temporarily ineligible for a maximum of one academic quarter or semester as determined by the student's academic calendar at the educational institution. Any other participant, including an employed participant, may be temporarily ineligible for a maximum of 90 days. A CCAP agency must place a family in temporary ineligibility when:
A. a family meets all eligibility requirements at redetermination in Minnesota Statutes, sections 119B.09 and 119B.10, but is on an unverified temporary break from the family's authorized activity. To end a family's temporary ineligibility, a parentally responsible individual must meet and verify the minimum authorized activity requirements in Minnesota Statutes, section 119B.10;
B. a family is ineligible for child care assistance due to increased income from active military service as provided in Minnesota Statutes, section 119B.09, subdivision 4a; or
C. a family is eligible under Minnesota Statutes, section 119B.025, subdivision 1, paragraph (c), but has not submitted a verification of eligibility within the time frame required by Minnesota Statutes, section 119B.025, subdivision 1, paragraph (d).
Subp. 17a. Authorization after temporary ineligibility.
A. If a family in temporary ineligibility becomes eligible for child care assistance, the family's eligibility begins on the date that the family meets all eligibility requirements. For a family that is eligible for child care assistance under Minnesota Statutes, section 119B.025, subdivision 1, paragraph (c), the family's eligibility begins retroactively from the date that temporary ineligibility began, or on the date that the family began participating in an authorized activity, whichever is later.
B. If a schedule reporter in temporary ineligibility becomes eligible for child care assistance, a CCAP agency must authorize child care based on the parentally responsible individual's verified activity schedule.
C. If a 12-month reporter in temporary ineligibility becomes eligible for child care assistance during the 12-month eligibility period, a CCAP agency must authorize the same amount of child care that the family received before the family became temporarily ineligible, unless the family requests less child care or the family verifies that the family needs more child care. If a 12-month reporter who is temporarily ineligible becomes eligible when a CCAP agency approves the 12-month reporter's redetermination, the CCAP agency must authorize child care based on the amount of child care that the family needs and the verification that the family provides at redetermination. If a CCAP agency determines that a 12-month reporter is temporarily ineligible at redetermination and on a different date the 12-month reporter becomes eligible, a CCAP agency must authorize child care based on the amount of child care that the 12-month reporter needed and verified at the time that the family was no longer temporarily ineligible.
Subp. 17b. Temporary ineligibility of family on waiting list.
A CCAP agency must reserve a family's position under the child care fund for up to 90 days if a family reaches the top of the basic sliding fee waiting list but is temporarily ineligible for child care assistance. In a CCAP agency's child care fund plan, the CCAP agency must specify whether the agency reserves positions under the child care fund longer than 90 days for temporarily ineligible families who reach the top of the basic sliding fee waiting list and, if so, the amount of additional time that the CCAP agency will reserve a family's position and the conditions under which the CCAP agency will reserve a family's position longer than 90 days.
Subp. 18. Suspension.
A. A CCAP agency must suspend and not terminate a family's eligibility for child care assistance for up to one continuous year if:
B. A CCAP agency must not decrease a 12-month reporter's authorized child care during the 12-month eligibility period if there is a temporary break or a change in the parentally responsible individual's employment, education and training, or employment plan activity, unless the 12-month reporter requests a reduction in authorized child care hours or requests that the CCAP agency suspend child care.
C. A CCAP agency must end a schedule reporter's authorization and suspend the schedule reporter's eligibility if there is a temporary break in the schedule reporter's employment, education or training, or employment plan activity and the parentally responsible individual has no other authorized activity, unless the parentally responsible individual meets the criteria in part 3400.0110, subpart 10.
Subp. 18a. Authorization after suspension.
A. If a schedule reporter is no longer suspended, a CCAP agency must authorize the schedule reporter's child care based on the parentally responsible individual's verified activity schedule.
B. If a 12-month reporter is no longer suspended during the 12-month eligibility period, a CCAP agency must authorize the same amount of child care that the 12-month reporter received before the 12-month reporter's suspension, unless the 12-month reporter requests less child care or the 12-month reporter verifies that the 12-month reporter needs more child care. If a 12-month reporter is no longer suspended when a CCAP agency approves the 12-month reporter's child care at redetermination, a CCAP agency must authorize the 12-month reporter's child care based on the amount of child care that the 12-month reporter needs and the verification that the 12-month reporter provides at redetermination. If a 12-month reporter is suspended at redetermination and on another date becomes eligible, a CCAP agency must authorize the 12-month reporter's child care based on the amount of child care that the 12-month reporter needs and that the 12-month reporter verifies at the time that the 12-month reporter becomes eligible.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0050 [Repealed, 26 SR 253]
[Repealed, 26 SR 253]
Minn. R. 3400.0060 Basic Sliding Fee Program
Subpart 1.
[Repealed, 26 SR 253]
Subp. 2. Basic sliding fee allocation.
The commissioner must allocate money from the child care fund for the basic sliding fee program as provided in Minnesota Statutes, section 119B.03, subdivisions 6 to 9. By July 1 of each year, the commissioner must notify all county, Tribal, and human services boards of their allocations under the basic sliding fee program, including the amount available for payment of administrative expenses.
Subp. 3.
[Repealed, 26 SR 253]
Subp. 4. Reallocation of unexpended or unencumbered funds.
The commissioner must reallocate unexpended or unencumbered funds according to items A to D.
A. The commissioner may reallocate unexpended or unencumbered funds following the first, second, and third quarters of the allocation period as provided in Minnesota Statutes, section 119B.03, subdivision 5. Following the fourth quarter of the allocation period, the commissioner must review county and Tribal expenditures under the basic sliding fee program and must reallocate unearned allocations to counties and Tribes that had direct service earnings in excess of their allocation.
B. The amount reallocated to any county or Tribe must be based on direct service earnings in excess of its allocation. The amount reallocated must not be greater than the direct service earnings in excess of allocation minus the county's or Tribe's fixed local match to be calculated as specified in Minnesota Statutes, section 119B.11, subdivision 1.
C. If the amount of funds available for reallocation is less than total county or Tribe direct service earnings in excess of allocations, the reallocated funds must be prorated to each county and Tribe based on the ratio of the county's or Tribe's direct service earnings in excess of its allocation to the total of all county and Tribal direct service earnings in excess of their allocation.
D. If the amount of funds available for reallocation is greater than total county or Tribe direct service earnings in excess of allocations under the basic sliding fee program, the funds remaining after the basic sliding fee reallocation must be carried forward and added to the funds available for allocation in the next allocation period.
Subp. 5. Families eligible for assistance under the basic sliding fee program.
To the extent of available allocations, an applicant is eligible for child care assistance under the basic sliding fee program if:
A. the applicant meets eligibility requirements under part 3400.0040;
B. the applicant is not a MFIP or DWP participant; and
C. the family meets the income eligibility requirements specified in Minnesota Statutes, section 119B.09.
Subp. 6.
[Repealed, 47 SR 391]
Subp. 6a.
[Repealed, 47 SR 391]
Subp. 7.
[Repealed, 47 SR 391]
Subp. 8.
[Repealed, 47 SR 391]
Subp. 9. Child care responsibility when family moves.
A. When a family receiving child care assistance from the basic sliding fee program moves to a new county or moves to an area served by a Tribal CCAP agency in Minnesota, the original county or Tribal CCAP agency must continue to provide child care assistance to a family for two full calendar months after the family's move if the family needs child care and remains eligible for the basic sliding fee program. Before a family transfers to a Tribal CCAP agency, the family must meet the Tribal CCAP agency's criteria for families that the Tribal CCAP agency serves. The limitation in Minnesota Statutes, section 119B.09, subdivision 1, paragraph (a), clause (2), regarding the family's household income at program entry does not apply when a family receiving assistance moves to another county or moves to an area served by a Tribal CCAP agency and continues receiving assistance from the new county or Tribal CCAP agency.
B. If there is a waiting list for the basic sliding fee program in the receiving county or Tribal CCAP agency when the county or Tribal CCAP agency assumes responsibility for the family after two full calendar months following the family's move, the receiving county or Tribal CCAP agency must fund child care assistance for the family through the portability pool while the family remains eligible. An eligible family must continue to receive child care assistance through the portability pool until the family is able to receive child care assistance through the receiving county's or Tribe's basic sliding fee program.
C. If there is no waiting list for the basic sliding fee program and funds are available, the receiving county or Tribal CCAP agency must immediately move the family into the county's or agency's basic sliding fee program when the county or agency assumes responsibility for the family after two full calendar months following the family's move according to Minnesota Statutes, section 256G.07, subdivision 1.
Subp. 10. Continued eligibility under basic sliding fee program.
A CCAP agency must not refuse to provide continued child care assistance to a family receiving assistance through the basic sliding fee program when there is a change in the family's financial or household status as long as the family continues to meet the eligibility requirements in this part and the general eligibility requirements in part 3400.0040. Except for the job search time limit under Minnesota Statutes, section 119B.10, subdivision 1, paragraph (a); the education time limit in Minnesota Statutes, section 119B.10, subdivision 3, paragraph (b); the extended eligibility period in Minnesota Statutes, section 119B.105; and the time limit to submit proof of eligibility under Minnesota Statutes, section 119B.025, subdivision 1, paragraph (d), a CCAP agency must not set a time limit for eligibility under the basic sliding fee program.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0065 Basic Sliding Fee Waiting List
Subpart 1. Basic sliding fee program waiting lists.
When a family inquires about or applies for child care assistance and basic sliding fee funding is not immediately available, a CCAP agency must perform a preliminary determination of the family's eligibility. A CCAP agency must not request or require a family to submit verifications during the preliminary determination of eligibility. If a CCAP agency determines that a family is or will likely be eligible for child care assistance and funding is not immediately available, the CCAP agency must place the family on a waiting list. A CCAP agency must determine the highest priority group for which a family qualifies and must notify the family of this determination. A CCAP agency must keep a written record identifying each family that the CCAP agency places on the child care waiting list.
Subp. 2. Waiting list dates.
Based on the funding priorities in Minnesota Statutes, section 119B.03, subdivision 4, a CCAP agency must add a family to the basic sliding fee program waiting list on the dates in items A to D.
A. A CCAP agency must add a family in priority group one or four to the basic sliding fee program waiting list on the date that the family makes the child care assistance request.
B. A CCAP agency must add a family in priority group two to the basic sliding fee program waiting list on the date that the family begins a transition year under part 3400.0090.
C. A CCAP agency must add a family in priority group three to the basic sliding fee program waiting list on the date that the family moves to a receiving county or moves to an area served by a Tribal CCAP agency.
D. A CCAP agency must add any other family who will likely be eligible under Minnesota Statutes, section 119B.03, subdivision 3, to the basic sliding fee program waiting list on the date that the participant makes the child care assistance request.
Subp. 3. Temporarily ineligible family on basic sliding fee waiting list.
When a family inquires about or applies for child care assistance while the family is temporarily ineligible, a CCAP agency must place the family on the waiting list if it is likely the family will be eligible for child care assistance. When a family reaches the top of the CCAP agency's waiting list and is temporarily ineligible for child care assistance, a CCAP agency must follow the procedures in part 3400.0040, subpart 17b.
Subp. 4. Transfer of family from waiting list to basic sliding fee program.
A CCAP agency must move a family on the basic sliding fee waiting list to the basic sliding fee program as funding permits according to the priorities listed in Minnesota Statutes, section 119B.03, subdivision 4. After a CCAP agency has complied with the priority requirements in section 119B.03, subdivision 4, the CCAP agency must comply with any priority requirements that the CCAP agency adopts under part 3400.0140, subpart 10, to move a family on the waiting list to the basic sliding fee program.
Subp. 5. Transfer of transition year family to basic sliding fee program.
A. If a transition year family under part 3400.0090 moves to another county or moves to an area served by a Tribal CCAP agency, the date that the original county or Tribal CCAP agency placed the family on the basic sliding fee waiting list must transfer with the family to the receiving county or Tribal CCAP agency.
B. A family who is eligible for, but does not use, transition year child care assistance retains the family's priority status for the basic sliding fee program. A family loses priority status at the conclusion of the transition year.
C. A county or Tribal CCAP agency must manage the county's or Tribal CCAP agency's basic sliding fee allocation to allow a family to move from a transition year to the basic sliding fee program without any interruption in child care. A CCAP agency must not serve a family under the basic sliding fee program who is a lower priority on the basic sliding fee waiting list than a transition year family unless the CCAP agency ensures that there is basic sliding fee program funding for the transition year family at the end of the family's transition year.
D. When a transition year ends, a CCAP agency must move a transition year family into the basic sliding fee program. A transition year family that does not reach the top of the CCAP agency's basic sliding fee program waiting list before completing a transition year is eligible to continue receiving transition year extension child care assistance under part 3400.0090, subpart 10. A CCAP agency must move a family receiving transition year extension child care assistance into the basic sliding fee program as funding becomes available according to the priorities in Minnesota Statutes, section 119B.03, subdivision 4.
Subp. 6. Removal of family from waiting list.
If a family receives transition year extension child care assistance or portability pool child care assistance, or is a student parent as defined in part 3400.0020, subpart 39a, receiving MFIP child care, and the family is no longer eligible for child care assistance, a CCAP agency must remove the family from the basic sliding fee waiting list. If a family reapplies for child care assistance in a county or with a Tribal CCAP agency with a waiting list, the family is subject to the waiting list according to the priorities in Minnesota Statutes, section 119B.03. A family who loses eligibility for child care assistance while receiving a transition year extension is no longer eligible for second priority on the basic sliding fee waiting list.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06
- History: 47 SR 391
Minn. R. 3400.0070 [Repealed, 26 SR 253]
[Repealed, 26 SR 253]
Minn. R. 3400.0080 Mfip Child Care Program
Subpart 1. Eligibility for MFIP child care program.
Persons listed in Minnesota Statutes, section 119B.05, subdivision 1, are eligible for the MFIP child care assistance program.
Subp. 1a. Eligibility and authorization of sanctioned MFIP participant.
A. At the time of application and redetermination, a 12-month reporter or schedule reporter who has been sanctioned under the MFIP program is eligible to receive child care assistance as allowed by part 3400.0110, subpart 3, item A.
B. A 12-month reporter receiving child care assistance who has been sanctioned under the MFIP program is eligible to receive child care assistance as allowed under parts 3400.0110, subpart 3, item C, and 3400.0175.
C. A schedule reporter who receives child care assistance and has been sanctioned under the MFIP program is eligible to receive child care assistance as allowed by parts 3400.0110, subpart 3, item D, and 3400.0175.
Subp. 1b. Child care assistance for approved job search.
An MFIP participant who has an approved employment plan that includes a job search as an authorized activity is not limited to the job search time frame in Minnesota Statutes, section 119B.10, subdivision 1.
Subp. 2.
[Repealed, 26 SR 253]
Subp. 3.
[Repealed, 26 SR 253]
Subp. 4.
[Repealed, 26 SR 253]
Subp. 5.
[Repealed, 26 SR 253]
Subp. 6.
[Repealed, 26 SR 253]
Subp. 7.
[Repealed, 26 SR 253]
Subp. 8. Child care responsibility when a family moves.
When an MFIP or DWP participant moves to another county or an area served by a Tribal CCAP agency and the receiving county or Tribal CCAP agency accepts responsibility for the participant's approved employment plan under Minnesota Statutes, section 256J.55, subdivision 3, the receiving county or Tribal CCAP agency is responsible for providing child care assistance to the MFIP or DWP participant effective on the date that the county or Tribal CCAP agency accepted responsibility for the employment plan. In all other cases, a county or Tribal CCAP agency must provide child care assistance according to Minnesota Statutes, section 256G.07, subdivisions 1, 3, and 4, when an MFIP or DWP participant moves to another county or an area served by a Tribal CCAP agency. A family must meet a Tribal CCAP agency's criteria for families that the Tribal CCAP agency serves for the Tribal CCAP agency to provide child care assistance to the family.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0090 Transition Year Child Care
Subpart 1. Notice to family of eligibility.
At the time that a family's MFIP or DWP case closes, the county or Tribal agency serving the family's MFIP or DWP case must send the family written notice of the family's potential eligibility for transition year child care.
Subp. 2. Eligibility.
A. A family must only use transition year child care assistance to support employment, a job search, and an approved education or training program that meets the requirements in Minnesota Statutes, section 119B.10. A family is eligible for transition year child care if the family meets the following conditions:
B. A family becomes eligible for transition year child care on the date that the family's MFIP or DWP case closes and continues to be eligible for 12 consecutive months. A family's temporary ineligibility for, suspension of, or failure to use child care assistance during the transition year does not suspend the transition year period.
C. A former MFIP or DWP participant may apply for transition year child care at any time during the transition year and, notwithstanding the application date, must receive retroactive transition year child care assistance according to Minnesota Statutes, section 119B.09, subdivision 7.
D. If a family was receiving child care assistance when the family's MFIP or DWP case closed, the family's child care assistance continues until the next redetermination as long as the family meets the transition year eligibility criteria in item A.
Subp. 3. Loss of transition year child care eligibility.
A. A family in which all caregivers have been disqualified from receiving MFIP or DWP due to fraud is not eligible for transition year child care assistance.
B. A county or Tribal CCAP agency must end a family's transition year child care assistance if the family meets one or more conditions for termination under part 3400.0183, subpart 2.
Subp. 4. Reestablishment of MFIP or DWP eligibility during transition year period.
If a transition year family reopens the family's MFIP or DWP case during the transition year period and subsequently meets the conditions in subpart 2, the family qualifies for a new 12-month transition year period. A family who receives one month of MFIP or DWP assistance and who meets the other conditions in subpart 2 is eligible for another 12-month transition year period. To receive child care assistance while receiving MFIP or DWP, a family must meet the MFIP child care requirements under part 3400.0080.
Subp. 5.
[Repealed, 26 SR 253]
Subp. 6.
[Repealed, 26 SR 253]
Subp. 7.
[Repealed, 33 SR 695]
Subp. 8.
[Repealed, 26 SR 253]
Subp. 9.
[Repealed, 26 SR 253]
Subp. 10. Transition year extension.
A. A family must only use transition year extension child care assistance to support employment, a job search, and an approved education and training program that meets the requirements in Minnesota Statutes, section 119B.10.
B. A family that meets the requirements of Minnesota Statutes, section 119B.011, subdivision 20a, and all other applicable child care assistance eligibility requirements is eligible for transition year extension child care assistance.
C. A family's transition year extension child care assistance begins after the conclusion of 12 consecutive months of the family's transition year. Child care assistance continues for a family as long as the family continues to meet child care assistance eligibility requirements.
D. A family's transition year extension child care assistance continues until:
E. A CCAP agency considers a family a new applicant when the family requests child care assistance after a transition year extension ends.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.02; 256H.035; 256H.055
- History: 18 SR 1144; L 1994 c 483 s 1; 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0100 Copayments and Copayment Schedules
Subpart 1.
[Repealed, 30 SR 1318]
Subp. 2.
[Repealed, 26 SR 253]
Subp. 2a. Copayments prorated during initial service period.
A CCAP agency must prorate a copayment during the service period when a family first receives service based on the number of calendar days remaining in the service period.
Subp. 2b.
[Repealed, 47 SR 391]
Subp. 2c.
[Repealed, 47 SR 391]
Subp. 3.
[Repealed, 30 SR 1318]
Subp. 3a.
[Repealed, 30 SR 1318]
Subp. 4.
[Repealed, 30 SR 1318]
Subp. 5. Update and publication of copayment schedule.
Under Minnesota Statutes, section 119B.12, the updated fee copayment schedule must take effect within three months of the date that the state median income and federal poverty guidelines become publicly available. The commissioner must publish and make the updated copayment schedule electronically available to each CCAP agency.
History
- Statutory Authority: MS s 14.3895; 119B.02; 119B.04; 119B.06; 119B.12; 256.01; 256H.01 to 256H.19; L 1999 c 205 art 1 s 63
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 30 SR 1318; 33 SR 695; 47 SR 391
Minn. R. 3400.0110 Child Care Assistance Authorizations and Payments
Subpart 1. Use of money from child care fund.
A CCAP agency must issue child care assistance payments for eligible families to eligible child care providers under part 3400.0120, subpart 1, from the child care fund.
Subp. 1a. Date of payments.
After a CCAP agency approves of a family's application for child care assistance, the CCAP agency must authorize payment of child care assistance to an eligible child care provider under part 3400.0120 beginning on the family's date of eligibility as determined under part 3400.0040, subpart 6c.
Subp. 2. Payment of legal nonlicensed child care provider.
After a legal nonlicensed child care provider is registered as a child care provider and eligible for child care assistance under part 3400.0120, a CCAP agency must pay the child care provider retroactively from the date in item A, B, C, or D, whichever is later:
A. the date that a CCAP agency authorizes child care to begin for a family that the legal nonlicensed child care provider serves;
B. the date that a family that the legal nonlicensed child care provider serves became eligible for child care under part 3400.0040, subpart 6c;
C. the date that a family began using the legal nonlicensed child care provider; or
D. the date that the legal nonlicensed child care provider completed training required by part 3400.0120, subpart 6, and Minnesota Statutes, section 119B.125, subdivision 1b.
Subp. 2a.
[Repealed, 47 SR 391]
Subp. 2b. Payment of certified license-exempt child care centers.
After a license-exempt child care center is certified under Minnesota Statutes, chapter 245H, registered, and eligible under part 3400.0120, subpart 1, a CCAP agency must pay the license-exempt child care center retroactively from the date in item A or B, whichever is later:
A. the date that a CCAP agency authorizes child care for a family to begin for a family that the certified license-exempt child care center serves; or
B. the date that a family that the certified license-exempt child care center serves became eligible for child care under part 3400.0040, subpart 6c.
Subp. 3. Authorization of child care.
Within the limits set by this chapter and Minnesota Statutes, chapter 119B, the amount of child care that a CCAP agency authorizes must reflect the child care needs of the family and minimize out-of-pocket child care costs to the family according to items A to H.
A. At the time of application and redetermination, a CCAP agency must authorize child care based on the requirements in Minnesota Statutes, section 119B.095, and based on the parentally responsible individual's schedule of participation in authorized activities, the child's school schedule, the child care provider's availability, and any other factors that affect the amount of child care that the family needs.
B. A CCAP agency must not authorize more than 120 hours of child care assistance per child every two weeks, except as provided under subparts 3a and 3b.
C. A CCAP agency must not decrease the amount of a 12-month reporter's authorized child care during the 12-month eligibility period due to a temporary break or a change in the parentally responsible individual's employment, education and training, or employment plan activity, unless the 12-month reporter requests a reduction in authorized hours or requests that the CCAP agency suspend the 12-month reporter's child care under part 3400.0040, subpart 18. Temporary breaks or changes include circumstances such as:
D. A CCAP agency must authorize child care during the 12-month eligibility period for a schedule reporter based on the parentally responsible individual's activity schedule. A CCAP agency must decrease the number of a schedule reporter's authorized hours when there is a change in the parentally responsible individual's employment, education and training, or employment plan activity and as a result of the change, the schedule reporter needs fewer hours of child care. A CCAP agency must terminate a child care authorization when there is a temporary break in the parentally responsible individual's employment, education and training, or employment plan activity and the parentally responsible individual has no other authorized activity, unless the parentally responsible individual meets the criteria in subpart 10 or part 3400.0040, subpart 10, item E, subitem (1). Temporary breaks include circumstances such as:
E. If a parentally responsible individual experiences a permanent end of the parentally responsible individual's only authorized activity under part 3400.0175, a CCAP agency must authorize the same amount of child care for the family as the family received before the permanent end of the authorized activity for up to three months or until the family's next redetermination, whichever is sooner.
F. A CCAP agency must terminate a child's child care authorization on the child's birthday when the child reaches 13 years of age or the child has a disability and reaches 15 years of age. A family remains eligible until redetermination under Minnesota Statutes, section 119B.09, subdivision 1, paragraph (e). If continued child care is necessary, the parentally responsible individual must request a CCAP agency to authorize child care. For 12-month reporters, a CCAP agency must authorize the same amount of child care under this item as the family received before the child's birthday, unless the parentally responsible individual verifies that the family needs additional child care hours or requests fewer child care hours. For schedule reporters, a CCAP agency must authorize child care under this item based on the parentally responsible individual's verified activity schedule. If the child is attending a licensed child care center, the child care provider must have a variance under chapter 9503 for a CCAP agency to authorize child care for the child.
G. A CCAP agency must authorize 100 hours of child care biweekly for a child when the child, the parentally responsible individual's authorized activity, and the child's child care provider meet the criteria in Minnesota Statutes, section 119B.13, subdivision 3c, unless the family chooses to have fewer hours authorized.
H. A CCAP agency must limit the amount of child care that the CCAP agency authorizes with a secondary child care provider as provided in Minnesota Statutes, section 119B.097.
Subp. 3a. Authorization during change in child care provider.
A CCAP agency must not authorize more than 120 hours of child care per child during each service period, except during a change in child care provider. Before authorizing a child's care with a new child care provider, a CCAP agency must give the previous child care provider proper notice under part 3400.0185, subpart 13. A CCAP agency is allowed to authorize child care with a new child care provider before the CCAP agency terminates the child care authorization of the previous child care provider if:
A. child care is no longer available with the previous child care provider;
B. the previous child care provider notifies the CCAP agency that the child care provider will not bill for child care during the 15-day adverse action period; or
C. the child is no longer receiving child care from the previous child care provider and the child has reached the absent day limit under Minnesota Statutes, section 119B.13, subdivision 7.
Subp. 3b. Authorization of child care with back-up child care provider.
When the child's usual child care provider is unavailable, the family may request that a CCAP agency authorize child care with a back-up child care provider for a maximum of the entire time period that the child's usual child care provider is unavailable.
Subp. 3c. Authorization of children of child care center employee.
A. When a CCAP agency authorizes child care in excess of the limit of children of child care center employees in Minnesota Statutes, section 119B.09, subdivision 9a, the CCAP agency must issue a 15-day adverse action notice and terminate the authorization of any child in excess of the limit. The CCAP agency must terminate the authorization of the child or children whose child care was most recently authorized until there are no authorizations in excess of the limit.
B. If a parentally responsible individual becomes a child care center employee at the same child care center where the individual's child is authorized to receive child care and the child care center exceeds the limit of children of child care center employees in Minnesota Statutes, section 119B.09, subdivision 9a, the CCAP agency must issue a 15-day adverse action notice and terminate authorization of the individual's child.
Subp. 3d. Child care payment.
A. A CCAP agency must pay a child care provider's full charge up to the applicable maximum rate, less the copayment, for all authorized hours of child care for a child.
B. A CCAP agency must not pay for more than 120 hours of child care assistance per child per service period. The 120-hour payment limit applies during a change in child care provider under subparts 3a and 3b.
C. Except as provided under subpart 8, a CCAP agency must not pay for the care of a child by more than one child care provider during the same period of time. If a child uses two child care providers under Minnesota Statutes, section 119B.097, the payment limits in Minnesota Statutes, section 119B.13, subdivision 1, apply. A CCAP agency must not pay more than one primary child care provider for care of a child on the same day and must not pay more than one secondary child care provider on the same day.
D. All hourly rates that a CCAP agency pays to a legal nonlicensed child care provider count toward the 120-hour limit.
E. A CCAP agency must follow the standards in subitems (1) and (2) to convert child care that a CCAP agency pays on a full-day or weekly basis into hours to determine if a payment exceeds 120 hours of child care assistance per service period for licensed and certified license-exempt child care providers. The agency must ensure that:
Subp. 4.
[Repealed, 33 SR 695]
Subp. 4a. Reimbursement from other sources for child care costs.
A CCAP agency must reduce the amount of a family's child care assistance payment by the amount of reimbursement earmarked for the same child care expenses that the family receives from sources other than the child care fund. A CCAP agency must not reduce the amount of a family's child care assistance payments when another source pays for different child care expenses, such as copayments, differences between the applicable maximum rate and the child care provider's charge, or time periods that are not authorized under the child care fund.
Subp. 5.
[Repealed, 26 SR 253]
Subp. 6.
[Repealed, 26 SR 253]
Subp. 7. Payment policies and schedule.
A CCAP agency must not require a parentally responsible individual to pay a child care provider in advance of receiving payments from the child care fund. A CCAP agency must make child care assistance payments within 21 days of receiving a complete bill from a child care provider. A complete bill must include a child care provider's signature, unless the bill meets the good cause criteria defined in the CCAP agency's child care fund plan. A CCAP agency must send a child care provider the forms necessary to bill for payment on or before the beginning of the billing cycle if the CCAP agency has authorized child care before this date.
Subp. 8. Sick child care.
A. Sick child care means that a child is unable to receive child care from the family's regular child care provider due to the child's illness. In addition to making payments for regular child care, a CCAP agency may make payments to a second child care provider that provides sick child care. A CCAP agency must include the CCAP agency's policy to make payments to two child care providers when a child is sick in the CCAP agency's child care fund plan.
B. If a CCAP agency chooses to pay a special needs rate for the care of a sick child, payment for sick child care must be at a rate comparable to like care arrangements in the county. A CCAP agency must include the CCAP agency's special needs rate for child care of sick children in the CCAP agency's child care fund plan.
Subp. 9. Payment during child absences and holidays.
A. If a child care provider does not charge all families for days on which a child is absent from child care, the child care assistance program must not pay the child care provider for days on which a child is absent from care.
B. If a child care provider charges all families for days on which a child is absent from child care, the child care assistance program must pay the child care provider for child absent days according to Minnesota Statutes, section 119B.13, subdivision 7.
C. Child care provider charges for absent days in excess of the amount established by Minnesota Statutes, section 119B.13, subdivision 7, are the responsibility of the family receiving child care assistance.
D. A CCAP agency must pay a child care provider for a holiday only if:
E. The absent day provisions in this subpart and in Minnesota Statutes, section 119B.13, subdivision 7, including the limits on paid absent days and holidays, apply to child care assistance payments for child care provided during notice periods.
F. A parentally responsible individual may substitute other cultural or religious holidays for the ten state and federal holidays identified in Minnesota Statutes, section 645.44, subdivision 5, if:
G. If a holiday falls on a Saturday, the preceding day is used as a holiday. If a holiday falls on a Sunday, the following day is used as a holiday.
H. A child with a documented medical condition may exceed the 25-absent-day limit, or ten consecutive full-day absent limit, as provided by Minnesota Statutes, section 119B.13, subdivision 7, paragraph (b). The following criteria apply.
Subp. 10. Payment during medical leaves of absence.
A CCAP agency must authorize child care assistance for a schedule reporter during the schedule reporter's medical leave of absence from education, employment, or authorized activity in an employment plan if:
A. the parentally responsible individual is unable to provide child care due to the individual's medical condition;
B. the parentally responsible individual is expected to return to authorized employment, an approved education or training program, or employment plan activity within 90 calendar days after leaving the job, education or training program, or activity; and
C. the necessity of the medical leave and the inability to provide child care are documented by a licensed physician, licensed psychiatrist, licensed psychologist, or licensed social worker. The amount of child care authorized during the medical leave of absence must not exceed 215 hours of child care per child.
Subp. 11. Payment during notice periods.
Child care assistance payments for child care provided during notice periods are subject to all payment rules and limits identified under this part.
Subp. 12. Payment for child care provided at short-term alternate locations.
When child care is not available at a certified license-exempt child care center where a CCAP agency has authorized a child to receive child care assistance and the child receives child care at an alternate location, a CCAP agency must make child care assistance payments under the child's current authorization if the following criteria are met:
A. the alternate location is a certified license-exempt child care center;
B. the alternate location is registered to receive child care assistance;
C. the alternate location is controlled by the same entity as the authorized certified license-exempt child care center and has the same tax identification number;
D. the alternate location is identified by the authorized certified license-exempt child care center as an alternate location before a CCAP agency issues payment for child care that the child receives at the alternate location;
E. child care is unavailable at the certified license-exempt child care center where the child is authorized to receive child care;
F. the child receives child care for no more than 21 consecutive calendar days at the alternate location; and
G. the alternate location fulfills all child care assistance program requirements in this chapter and Minnesota Statutes, chapter 119B, and all certification requirements in Minnesota Statutes, chapter 245H.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0120 Eligible Child Care Providers and Child Care Provider Requirements
Subpart 1. Eligible child care provider.
A. A registered child care provider who meets the definition of a child care provider in Minnesota Statutes, section 119B.011, subdivision 19, is eligible for payments from the child care fund.
B. A parentally responsible individual may choose one or more eligible child care providers that best meet the needs of the individual's family with the following limitations:
C. A CCAP agency or the commissioner may take action against a child care provider according to Minnesota Statutes, section 119B.13, subdivision 6, paragraph (d), clauses (1) to (7). A CCAP agency must indicate in the agency's child care fund plan which clauses in Minnesota Statutes, section 119B.13, subdivision 6, paragraph (d), the agency is implementing and must apply the policies consistently. For the purposes of implementing Minnesota Statutes, section 119B.13, subdivision 6, paragraph (e), a CCAP agency or the commissioner must (1) develop standards to define when a child care provider has corrected a condition, and (2) describe the conditions under which the CCAP agency or commissioner will withhold a child care provider's payment within the three-month time period. If a CCAP agency or the commissioner develops standards for escalating consequences to a child care provider within the three-month time period, any violation that the CCAP agency or the commissioner establishes under Minnesota Statutes, section 119B.13, subdivision 6, paragraph (d), is treated as a statewide occurrence. If the CCAP agency or commissioner terminates a child care provider's registration, the child care provider must complete the registration process in Minnesota Statutes, section 119B.011, subdivision 19a, and a CCAP agency or the commissioner must determine that the child care provider has re-established eligibility before the child care provider may receive any child care assistance payments.
Subp. 1a. Child care provider registration and acknowledgment.
A child care provider must sign and submit a child care provider registration and acknowledgment form and register as a child care provider before the child care provider or a parentally responsible individual is eligible to receive payments from the child care fund. The process for registering a child care provider eligible for payments from the child care fund must not exceed 30 calendar days from the date that the child care provider's registration and acknowledgment form is received or the date the child care provider's background study determination required by Minnesota Statutes, section 119B.125, subdivision 1a, is received, whichever is later. The child care provider registration and acknowledgment form must include the following information:
A. the child care provider's rate, charges for child absences and holidays, any notice days required before a child discontinues receiving child care, and any required registration fees;
B. documentation of the child care provider's license status and, if the child care provider is seeking a higher rate for quality based on accreditation or credential, documentation of the accreditation or credential held by the child care provider;
C. a statement acknowledging that charging child care assistance participants more than families who are not receiving child care assistance for like services or wrongfully obtaining child care assistance may be investigated and may be a crime;
D. a statement acknowledging that a parentally responsible individual must be given unlimited access to the individual's child and to the child care provider caring for the child during all hours that the child is in the child care provider's care;
E. a statement acknowledging that the child care provider is responsible for notifying the CCAP agency as provided in subpart 5 of child absence days, reduced attendance, and the end of child care;
F. a statement acknowledging that the child care provider is responsible for reporting any changes to the information supplied by the child care provider in the provider's registration and acknowledgment form;
G. a statement acknowledging that the child care provider is a mandated reporter of maltreatment of minors under Minnesota Statutes, chapter 260E;
H. a statement acknowledging that when the CCAP agency knows that a particular child care provider or child care arrangement is unsafe, the CCAP agency may deny child care assistance payments to the child care provider while following the termination notice requirements in part 3400.0185, subpart 13;
I. a statement acknowledging that the child care provider is responsible for maintaining daily attendance records according to Minnesota Statutes, section 119B.125, subdivision 6;
J. a statement acknowledging that the child care provider is responsible for maintaining documentation of payment of child care expenses by a source other than the child's family according to Minnesota Statutes, section 119B.09, subdivision 11;
K. a statement acknowledging that if the child care provider receives an overpayment from the child care fund, the CCAP agency or the commissioner must deduct the overpayment from payments under part 3400.0187; and
L. a statement acknowledging that the child care provider must not bill for a holiday unless the child care provider provides child care on the holiday, the child is scheduled and authorized to be in child care on the holiday, and the child care provider correctly indicates the day of the holiday when billing.
Subp. 1b.
[Repealed, 33 SR 695]
Subp. 1c. Registration of licensed child care centers, licensed family child care providers, and certified license-exempt child care centers.
To register as a child care provider, a licensed child care center, a licensed family child care provider, and a certified license-exempt child care center must provide:
A. the child care provider registration and acknowledgment form required by subpart 1a;
B. a completed request for taxpayer identification number and certification when a child care provider is registering for the first time or registering after the child care provider's registration has been terminated; and
C. a statement acknowledging that the child care provider must not bill for absent days unless a child is absent for all scheduled hours on a day and the child care provider correctly indicates the absent day when billing.
Subp. 1d. Certification of license-exempt child care centers.
For a license-exempt child care center to receive payments from the child care fund, the license-exempt child care center must be registered, eligible under subpart 1, and certified under Minnesota Statutes, chapter 245H. If the child care provider loses the child care provider's certification under Minnesota Statutes, chapter 245H, the child care provider's registration and all of the child care provider's child care authorizations must be terminated with a 15-day adverse action notice.
Subp. 2. Registration of legal nonlicensed child care providers.
A. To register, a legal nonlicensed child care provider must provide:
B. A legal nonlicensed child care provider who will receive payment from the child care fund must provide the child care provider's Social Security number or tax identification number. The legal nonlicensed child care provider must be informed under what statutory or other authority the number is solicited and how the number will be used.
C. Legal nonlicensed child care providers must provide an assurance that the child care provider will obtain an immunization record for each child in the child care provider's care within 30 days of the first day providing child care for the child.
D. At the time of registration, a legal nonlicensed child care provider must be provided with health and safety materials supplied by the commissioner.
E. A legal nonlicensed child care provider must be informed that a record of substantiated parental complaints concerning the health and safety of children in the care of legal nonlicensed child care providers will be kept and that, upon request, information governing substantiated complaints must be released to the public as authorized under Minnesota Statutes, chapter 13.
Subp. 2a. Release for in-home child care providers.
An in-home child care provider must register as a child care provider and sign a release allowing the parentally responsible individual employing the child care provider to receive information on the remittance advice about the amount of any funds being withheld from payment of the child care provider and the reason for the withholdings. An in-home child care provider must be a legal nonlicensed child care provider or a child care provider licensed to provide child care in the child's home.
Subp. 3. Parental access to children in child care.
A child care provider must give a parentally responsible individual unlimited access to the parentally responsible individual's child and to the child care provider caring for the child during all hours that the child is in the child care provider's care.
Subp. 4.
[Repealed, 26 SR 253]
Subp. 5. Child care provider reporting requirements.
A. In addition to the reporting requirements in Minnesota Statutes, section 119B.125, subdivision 9, when a child care provider knows that a family has terminated child care with the child care provider, the child care provider must notify the CCAP agency that a family has terminated child care. When a child care provider believes that a family will be ending child care with the child care provider, the child care provider must notify a CCAP agency of the date on which the child care provider believes that the family will end child care. A child care provider must also notify a CCAP agency if a child or children have been absent for more than seven consecutive scheduled days. With the exception of the reporting requirements in Minnesota Statutes, section 119B.125, subdivision 9, a child care provider may notify a CCAP agency of a change by reporting the change in person, by telephone, by facsimile, by mail, electronically, by email, or by reporting the change when billing or on a change reporting form.
B. A legal nonlicensed child care provider must report to the CCAP agency when any of the following events occur: a child dies in the child care provider's care, a child is maltreated in the child care provider's care, or a child has a serious injury requiring treatment by a physician in the child care provider's care.
Subp. 6.
[Renumbered subp 7]
Subp. 6. Legal nonlicensed child care provider training requirements.
A. In addition to the training requirements in Minnesota Statutes, section 119B.125, subdivision 1b, a legal nonlicensed child care provider must complete:
B. At each registration renewal, a legal nonlicensed child care provider caring for an unrelated child must have:
C. A legal nonlicensed child care provider must attest and verify that the legal nonlicensed child care provider has completed all required training.
Subp. 7. Legal nonlicensed child care provider capacity and age distributions.
A. A legal nonlicensed child care provider, as defined by Minnesota Statutes, section 119B.011, subdivision 16, is eligible for payment from the child care fund for up to eight children who are 12 years of age and younger and 13 or 14 years of age with special needs due to a disability. The children must be:
B. When a legal nonlicensed child care provider cares for children, the children must be within the following age distributions to be eligible for payment from the child care fund:
C. A CCAP agency must consider the following factors when authorizing child care with a legal nonlicensed child care provider.
Subp. 8. Legal nonlicensed child care provider health and safety requirements.
A. A legal nonlicensed child care provider must comply with all applicable federal health and safety requirements, including preventing and controlling infectious diseases, administering medications, preventing and responding to allergic reactions, ensuring building and physical premises safety, handling and disposing of bodily fluids, transporting children, preventing and reporting child abuse and neglect, emergency preparedness and response, child development, and the federal health and safety training requirements in subpart 6.
B. A legal nonlicensed child care provider must develop an emergency preparedness plan and make the plan available to a CCAP agency upon request. A CCAP agency must give a child care provider 15 calendar days to submit an emergency preparedness plan, if requested by the CCAP agency. If a child care provider fails to make the child care provider's emergency preparedness plan available to a CCAP agency, the child care provider's registration and all of the child care provider's child care authorizations must be terminated with a 15-day adverse action notice.
Subp. 9. Legal nonlicensed child care provider annual monitoring.
A. Any legal nonlicensed child care provider who is authorized to care for an unrelated child must complete an initial annual monitoring visit within 12 months of child care authorization. The initial annual monitoring visit includes evaluating the child care environment and determining whether the child care provider meets the health and safety requirements in subpart 8.
B. After the initial annual monitoring visit, a legal nonlicensed child care provider must complete a subsequent annual monitoring visit within 12 months of the initial visit for child care authorization of an unrelated child to continue. If a CCAP agency terminates a child care provider's child care authorization of an unrelated child and the CCAP agency later issues a new authorization to the child care provider for an unrelated child, the child care provider must complete an annual monitoring visit within 12 months of the previous visit or within 90 days from the date that a CCAP agency issued the child care authorization, whichever is later.
C. The commissioner must publicly post monitoring visit result summaries online.
D. If a legal nonlicensed child care provider does not demonstrate full compliance with the health and safety requirements in subpart 8 and the child care provider may demonstrate compliance by submitting additional written information, a CCAP agency must allow the child care provider 15 calendar days to submit the additional information. If a CCAP agency does not receive written information establishing the child care provider's compliance with health and safety requirements, the child care provider's registration and all of the child care provider's child care authorizations must be terminated with a 15-day adverse action notice.
E. If a legal nonlicensed child care provider does not comply with at least one health and safety requirement under subpart 8 and the child care provider is unable to demonstrate compliance by submitting additional written information, the child care provider's registration and all of the child care provider's child care authorizations must be terminated with a 15-day adverse action notice.
F. If a legal nonlicensed child care provider's registration is terminated for the child care provider's failure to demonstrate compliance with the annual monitoring visit, the CCAP agency must identify the conditions under which the child care provider may become eligible to receive child care assistance payments in the CCAP agency's child care fund plan.
G. If a legal nonlicensed child care provider is not available for a scheduled annual monitoring visit, a CCAP agency must allow 15 calendar days for the child care provider to reschedule the annual monitoring visit. If a child care provider is not available for a rescheduled visit, a CCAP agency must terminate the child care provider's authorizations for unrelated children with a 15-day adverse action notice. Once an annual monitoring visit is complete, a child care provider is eligible for child care authorizations for unrelated children effective on the date that the visit is completed under Minnesota Statutes, sections 119B.09, subdivision 7, and 119B.13, subdivision 6, paragraph (c).
H. If the annual monitoring visit reveals unsafe care as defined in the CCAP agency's child care fund plan, the child care provider's registration and all of the child care provider's child care authorizations must be terminated with a 15-day adverse action notice.
I. If the annual monitoring visit reveals imminent risk as defined in the CCAP agency's child care fund plan, the child care provider's registration and all of the child care provider's child care authorizations must be terminated as required by part 3400.0185, subpart 13.
History
- Statutory Authority: MS s 14.388; 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; L 1999 c 205 art 5 s 21; 26 SR 253; 33 SR 695; 46 SR 323; 47 SR 391
Minn. R. 3400.0130 Child Care Assistance Program Maximum Rates
Subpart 1. Rate determination.
The commissioner must determine the applicable child care assistance program maximum rate as described in Minnesota Statutes, section 119B.13. Any rate survey conducted by the commissioner as described in Minnesota Statutes, section 119B.02, must include a survey of registration fees when it is usual and customary for a category of child care provider to charge registration fees.
Subp. 1a. Child care assistance program maximum rate.
Except as provided in this part, the maximum rate payable by a CCAP agency for child care assistance is the child care provider's rate or the applicable maximum rate determined by the commissioner under Minnesota Statutes, section 119B.13, whichever is less. In Minnesota, the child care assistance program maximum rate must be based on the county, or city when applicable, where a child care provider provides child care. Outside Minnesota, the child care assistance program maximum rate must be based on the participant's county of residence.
Subp. 1b. Child care provider charges and registration fees in excess of maximum child care payment.
A CCAP agency must not pay a child care provider more than the child care assistance program maximum rate and registration fee. In addition to any copayment, a family is responsible for:
A. the difference between the child care assistance program maximum rate and the child care provider rate;
B. any charges that exceed the allowable CCAP payment under part 3400.0110, subpart 3d;
C. the difference between the applicable maximum registration fee and the child care provider registration fee when the child care provider charge does not include the registration fee;
D. the child care provider registration fee when a CCAP agency has paid two registration fees per child in a 12-month period; and
E. any other fees that the child care provider charge does not include. A third party may pay part or all of a family's child care expenses under Minnesota Statutes, section 119B.09, subdivision 11.
Subp. 2. Rate determination for certified license-exempt child care centers.
A CCAP agency must pay a certified license-exempt child care center as defined in Minnesota Statutes, section 245H.01, subdivision 5, the applicable maximum rate for licensed child care centers or the child care provider rate, whichever is less.
Subp. 2a.
[Repealed, 30 SR 1318]
Subp. 3. Rate determination for special needs due to disability or inclusion in at-risk population.
A CCAP agency must submit a request to pay a special needs rate for a child with a disability or for a child care provider caring for a child in an at-risk population to the commissioner. The commissioner must evaluate a request for a special needs rate using the commissioner's methodology. Based on the commissioner's methodology, approved special needs rates may be lower than the requested rates.
Subp. 3a. Rate determination; children with special needs due to disability.
A. When a parentally responsible individual or a child care provider asks a CCAP agency for a special needs rate for a child with a disability that exceeds the applicable maximum rate, the CCAP agency must use the following process to determine whether a special needs rate is necessary and, if so, to establish the requested special needs rate. The CCAP agency must:
B. Upon written approval by the commissioner, a CCAP agency must pay the approved special needs rate retroactively from the date of the child care provider's or parentally responsible individual's request for the special needs rate under Minnesota Statutes, sections 119B.09, subdivision 7, and 119B.13, subdivision 6. A special needs rate approval must not exceed a time period of 12 months. If a parentally responsible individual or child care provider requests a special needs rate for longer than 12 months, the parentally responsible individual or child care provider must seek a renewal of the special needs rate by the end of the 12-month period.
Subp. 3b. Rate determination; child care provider who serves children in at-risk population.
To determine a special needs rate for a child care provider caring for children in an at-risk population as defined in the CCAP agency's child care fund plan, a CCAP agency must:
A. obtain documentary evidence that the children that the child care provider serves are predominantly in the at-risk population defined in the CCAP agency's child care fund plan;
B. obtain the following documentation from the child care provider:
C. determine how many child care providers in the county offer child care for children in the at-risk population;
D. identify the 75th percentile rate if the CCAP agency finds that four or more child care providers offer child care for children in the at-risk population and pay the 75th percentile rate, the rate negotiated with the child care provider by the CCAP agency, or the child care provider's rate, whichever is less;
E. pay the lesser of the rate negotiated with the child care provider by the CCAP agency or the child care provider's rate if the CCAP agency finds that fewer than four child care providers offer child care for children in the at-risk population; and
F. seek the commissioner's approval of the special rate as determined under item D or E. A CCAP agency must submit the special needs rate request for the commissioner's approval with or as an amendment to the CCAP agency's child care fund plan. Upon written approval by the commissioner, a CCAP agency must pay the approved special needs rate retroactively from the date of the child care provider's request for the special needs rate under Minnesota Statutes, sections 119B.09, subdivision 7, and 119B.13, subdivision 6.
Subp. 4.
[Repealed, 26 SR 253]
Subp. 5. Age categories.
A CCAP agency must determine a child's maximum child care assistance rate according to the age of the child and the type of child care provider caring for the child as follows.
A. The age categories in Minnesota Statutes, section 245A.02, subdivision 19, apply to a licensed family child care provider and to a legal nonlicensed child care provider.
B. The age categories in part 9503.0005, subpart 2, apply to a licensed child care center.
C. The age categories in Minnesota Statutes, section 245H.08, subdivisions 4 and 5, apply to a certified license-exempt child care center.
D. If a licensed family child care provider or a licensed child care center cares for the child, a CCAP agency must base the maximum rate that the agency pays for the child's care on a different age category when a parentally responsible individual or child care provider notifies the CCAP agency that the child's setting or age category differs from the applicable age category under item A or B; and:
E. A CCAP agency must consider a child to be in the school-age rate category on September 1 following the child's fifth birthday unless the parentally responsible individual informs the CCAP agency that the child will not be starting school.
Subp. 5a. Rates for in-home care.
When a child care provider cares for a child in the child's home under Minnesota Statutes, section 119B.09, subdivision 13, a CCAP agency must base the applicable maximum rate on the allowable rate for a legal nonlicensed child care provider. If a child care provider is licensed to care for a child in the child's home, a CCAP agency must base the applicable maximum rate on the allowable rate for a licensed child care provider.
Subp. 6.
[Repealed, 26 SR 253]
Subp. 7. Payment of registration fees.
If a child care provider charges a family a registration fee to enroll a child in the child care provider's program and the child care provider rate does not include the registration fee, a CCAP agency must pay the child care provider registration fee or up to the applicable maximum registration fee that the commissioner determines under Minnesota Statutes, section 119B.13. A CCAP agency must not pay for more than two registrations per child in a 12-month period.
Subp. 8.
[Repealed, L 2011 1Sp9 art 3 s 35]
Subp. 9.
[Repealed, 26 SR 253]
Subp. 10.
[Repealed, 26 SR 253]
History
- Statutory Authority: MS s 14.3895; 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 30 SR 1318; 33 SR 695; L 2011 1Sp9 art 3 s 35; 47 SR 391
Minn. R. 3400.0140 Responsibilities of a Ccap Agency
Subpart 1. CCAP agency child care assistance policies and procedures.
A CCAP agency must adopt policies and procedures for providing child care assistance to enable eligible applicants to seek or retain employment or to participate in education or training programs. All adopted CCAP agency policies that apply to child care assistance must be in writing and must be included in the CCAP agency's child care fund plan and must be approved by the commissioner as required under part 3400.0150.
Subp. 2. Child care assistance information.
A CCAP agency must provide information on child care assistance to families, child care providers, social service agencies, and the local news media to ensure the full use of the CCAP agency's child care fund allocation.
Subp. 3.
[Repealed, 26 SR 253]
Subp. 4.
[Repealed, 47 SR 391]
Subp. 5.
[Repealed, 47 SR 391]
Subp. 5a.
[Repealed, 33 SR 695]
Subp. 6. Duties upon receipt of complaint against legal nonlicensed child care provider.
Within 24 hours of receiving a complaint concerning the health or safety of children in the care of a legal nonlicensed child care provider, a CCAP agency must relay the complaint to:
A. the county's or Tribe's child protection agency if the complaint alleges child maltreatment as defined in Minnesota Statutes, section 260E.03, subdivision 12;
B. the county's or Tribe's public health agency if the complaint alleges a danger to public health due to communicable disease, unsafe water supply, sewage or waste disposal, or building structures;
C. local law enforcement if the complaint alleges criminal activity that endangers the health or safety of children under care; or
D. other agencies with jurisdiction to investigate complaints relating to the health and safety of a child. If a complaint is substantiated under item A, the CCAP agency must keep a record of the substantiated complaint as provided in Minnesota Statutes, section 260E.35, subdivision 6. If a complaint is substantiated under items B to D, the CCAP agency must keep a record of the substantiated complaint for three years. Upon request, a CCAP agency must release information governing substantiated complaints to the public as authorized under Minnesota Statutes, chapter 13. Upon receiving notice of a substantiated complaint under items A to D, a CCAP agency must determine if the complaint meets the criteria for imminent risk or unsafe care in the CCAP agency's child care fund plan. A CCAP agency must not make payments to a child care provider from the child care fund for child care services that the child care provider provides after the date of the termination notice under part 3400.0185, subpart 13, unless the child care provider has corrected the conditions underlying the substantiated complaint. If a CCAP agency terminates a child care provider's registration, the child care provider must complete the registration process in Minnesota Statutes, section 119B.011, subdivision 19a, after the child care provider has corrected the conditions underlying the substantiated complaint and becomes eligible under part 3400.0120 to receive child care assistance payments. When substantiated maltreatment occurs in a legal nonlicensed child care setting and a child dies or a child has a serious injury in the legal nonlicensed child care setting that requires treatment by a physician, the commissioner and any CCAP agency must always consider the legal nonlicensed child care setting unsafe and the child care provider is no longer eligible to receive child care assistance.
Subp. 7. County and Tribal contracts for administration of child care fund.
A county or Tribe may contract for the administration of all or part of the child care fund. A county or Tribe must designate the agency that the county or Tribe authorizes to administer the child care fund in the county's or Tribe's child care fund plan. The county or Tribe must submit a copy of the current contract with the subcontracted agency that describes the subcontracted agency's responsibilities.
Subp. 8. Agreement with employment and training services providers.
Cooperative agreements with employment and training services providers must specify that MFIP families participating in employment services and meeting the requirements of part 3400.0080 are eligible for child care assistance from the CCAP agency responsible for the MFIP participant's approved employment plan or according to Minnesota Statutes, section 256G.07.
Subp. 9. Local match.
The county or Tribe must provide a local match according to Minnesota Statutes, section 119B.11, subdivision 1.
Subp. 9a. Child care assistance funding.
In the manner prescribed by the commissioner, a CCAP agency must use funding for child care expenditures for all eligible recipients who are in employment, education, training, or other preemployment activities allowed under the federal and state reimbursement programs. The commissioner must allocate any federal or state earnings to the CCAP agency that used the funding and the CCAP agency must use the earnings to expand funding for child care services.
Subp. 10. Eligibility priorities for beginning assistance.
If a CCAP agency's basic sliding fee program allocation for child care is insufficient to fund all of the applications that the CCAP agency receives for child care assistance, the CCAP agency may prioritize eligibility among the groups that remain to be served after the CCAP agency has complied with the priority requirements in Minnesota Statutes, section 119B.03, subdivision 4. A CCAP agency must include the agency's rationale for the prioritization of eligibility in the CCAP agency's child care fund plan. To the extent of available allocations, a CCAP agency must not exclude any eligible family who has submitted a complete application from receiving child care assistance.
Subp. 11.
[Repealed, 26 SR 253]
Subp. 12.
[Repealed, 26 SR 253]
Subp. 13.
[Repealed, 26 SR 253]
Subp. 14. Reporting requirements.
A CCAP agency must submit financial, program activity, and child care provider reports according to instructions and schedules that the commissioner establishes after considering such factors as the commissioner's need to receive data in a manner and according to a schedule that meets reporting deadlines and the CCAP agency's need for lead time when changes in reporting requirements occur.
Subp. 15.
[Repealed, 26 SR 253]
Subp. 16.
[Repealed, 26 SR 253]
Subp. 17.
[Repealed, 26 SR 253]
Subp. 18.
[Repealed, 26 SR 253]
Subp. 19.
[Repealed, 33 SR 695]
Subp. 20.
[Repealed, 26 SR 253]
Subp. 21. Acting on changes.
A CCAP agency must act within ten calendar days from the date that a family reports a change or the change becomes known to the CCAP agency. A CCAP agency must consider a family's reporting responsibilities under part 3400.0040, subpart 4, to determine if a change requires CCAP agency action.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0150 Child Care Fund Plan
Subpart 1. Submission of plan.
By the date established by the commissioner, a county or Tribe must submit to the commissioner a child care fund plan within the time frame in Minnesota Statutes, section 119B.08, subdivision 3. The commissioner may require updates of information in the child care fund plan to comply with this chapter, applicable Minnesota statutes, and federal laws and regulations.
Subp. 2. Plan content.
A child care fund plan must contain a complete description of the county's or Tribe's child care assistance program for applicants and participants eligible for assistance under Minnesota Statutes, chapter 119B. The child care fund plan must include the information required by Minnesota Statutes, sections 119B.08, subdivision 3, and 119B.125, subdivision 4; the information required by this chapter, including the conditions that the county or Tribe recognizes as presenting an imminent risk of harm; and all county and Tribal forms, policies, and procedures used to administer the child care funds. The child care fund plan must describe how the county or Tribe serves persons with limited English proficiency as required by title VI of the Civil Rights Act of 1964, United States Code, title 42, sections 2000, et seq. The information in the plan must be in the form that the commissioner prescribes.
Subp. 2a. Plan approval.
A county or Tribe must submit a complete child care fund plan to the commissioner for approval. The child care fund plan must comply with this chapter; Minnesota Statutes, chapter 119B; and federal law. Once the commissioner approves of the child care fund plan, the county or Tribe must receive written approval from the commissioner within the time frame in Minnesota Statutes, section 119B.08, subdivision 3. The child care fund plan must include information on how the county or Tribe will make the approved plan available to the public.
Subp. 3. Plan amendments.
A county or Tribe may submit a written request to amend the county's or Tribe's child care fund plan at any time and the commissioner must approve of the amendment before the amended plan becomes effective. If the commissioner approves of the amendment, the amendment is effective on the date requested by the county or Tribe unless a different effective date is set by the commissioner. The commissioner must approve or deny plan amendments within 60 days after receipt of the amendment request. A county or Tribe must include the approved amendment when making the approved plan available to the public.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; L 1999 c 205 art 5 s 21; 26 SR 253; 47 SR 391
Minn. R. 3400.0160 [Repealed, 26 SR 253]
[Repealed, 26 SR 253]
Minn. R. 3400.0170 Income Eligibility for Child Care Assistance
Subpart 1. Proof of income eligibility.
An applicant requesting child care assistance must provide proof of income eligibility. For the purpose of determining income eligibility, gross annual income is the gross income of the family for the current month multiplied by 12, the gross income for the 12-month period immediately preceding the date of application, or the gross income calculated by the method that provides the most accurate assessment of gross annual income available to the family. A CCAP agency must use the method that provides the most accurate assessment of gross annual income currently available to the family. An applicant must verify counted income as described in subpart 4 with documentary evidence. If an applicant does not submit sufficient evidence of counted income to a CCAP agency, the CCAP agency must offer the applicant the opportunity to sign an informational release to permit the CCAP agency to verify whether the applicant qualifies for child care assistance.
Subp. 1a. Income limits.
Income limits vary for applicants and participants under Minnesota Statutes, section 119B.09, subdivision 1.
A. To be income eligible at application, a family's gross annual income after allowable deductions under subpart 6a must be at or below:
B. To be income eligible at redetermination, a family's gross annual income after allowable deductions must be at or below 67 percent of the state median income, adjusted for family size. This limit applies to all participants.
C. To maintain income eligibility during the 12-month eligibility period, a family's gross annual income after allowable deductions must be at or below 85 percent of the state median income, adjusted for family size. This limit applies to all participants.
D. A CCAP agency must consider a family a participant when the family receives child care assistance and becomes temporarily ineligible under part 3400.0040, subpart 17, subject to the income limits in items B and C. A CCAP agency must consider a family a basic sliding fee applicant when the family on the basic sliding fee waiting list reaches the top of the waiting list and is temporarily ineligible under part 3400.0040, subpart 17, subject to the income limit in item A, subitem (1).
E. A family that is suspended under part 3400.0040, subpart 18, is considered a participant and is subject to the income limits in items B and C during the suspension and after the suspension ends.
F. If a family becomes ineligible while receiving child care assistance, a CCAP agency must terminate the family's child care assistance. If a formerly ineligible family applies for child care assistance, a CCAP agency must consider the family an applicant and the family is subject to the income limits in item A.
Subp. 2.
[Repealed, 26 SR 253]
Subp. 3. Evaluation of income.
A CCAP agency must determine the income that a family receives or that is available to a family according to subparts 4 to 11.
Subp. 4. Determination of gross annual income.
The income standard for determining eligibility for child care assistance is a family's gross annual income. A family's gross annual income is the sum of each family member's income sources under Minnesota Statutes, sections 119B.011, subdivision 15, and 256P.01, subdivisions 3 and 8, including earned income, self-employment income, unearned income, and lump sum payments. A CCAP agency must offset negative self-employment income from one business against self-employment income from a different business, resulting in a reduction in annual income from self-employment. Lump sum payments that a family receives prior to participating in the child care assistance program are not included in the family's total gross annual income. If a participant's eligibility ends after receiving a lump sum and the participant reapplies for child care assistance, a CCAP agency must count the lump sum for 12 months from the date of the lump sum receipt. A CCAP agency must calculate earned income, self-employment income, unearned income, and lump sum payments separately.
Subp. 4a. Individuals with exempt income.
Certain individuals in a family participating in the child care assistance program are exempt from having a CCAP agency count some or all of their income.
A. Individuals under Minnesota Statutes, section 256P.06, subdivision 2, paragraph (a), are exempt from having a CCAP agency count their earned income.
B. A designated new spouse under Minnesota Statutes, section 256P.06, subdivision 2, paragraph (c), is exempt from having the designated new spouse's earned and unearned income counted when the designated new spouse's family income before exemption does not exceed 67 percent of the state median income and the family verifies the marriage date. If a family meets these requirements, the designated new spouse's earned and unearned income no longer counts for two service periods after a CCAP agency receives verification of the marriage date and continues not to count for up to 26 service periods.
Subp. 5.
[Repealed, L 2015 c 71 art 5 s 34]
Subp. 6.
[Repealed, L 2015 c 71 art 5 s 34]
Subp. 6a. Deductions from gross annual income.
When a family verifies items at the time of application or redetermination, or during the 12-month eligibility period, a CCAP agency must deduct the following items from a family's gross annual income:
A. child or spousal support paid to or on behalf of a person or persons who live outside of the household;
B. money used to pay for health, dental, and vision insurance premiums for family members that are not reimbursed by medical assistance; and
C. expenditures necessary to secure payment of unearned income.
Subp. 7. Earned income from self-employment.
In determining a family's gross annual income for purposes of eligibility under this part, a CCAP agency must determine earned income from self-employment according to Minnesota Statutes, section 256P.05, subdivision 2. If a family provides verification for and meets income and authorized activity eligibility requirements under both income determination methods but does not choose a method, the CCAP agency must use the method that results in the lowest copayment to the family.
A. A family must provide verification of self-employment income for either income determination method and provide expenses for the taxable income method.
B. At the time of application, or redetermination, or during the 12-month eligibility period, a CCAP agency must allow a family to submit a self-attestation verifying income if financial documentation is unavailable or insufficient to accurately predict self-employment income.
C. A family may change the method of self-employment income determination when the current income calculation does not provide the most accurate assessment of annual ongoing income available to the family. The family must meet verification requirements of the chosen method.
D. Self-employment business records must be kept separate from the family's personal records.
E. If the person's business is a partnership or a corporation and that person is drawing a salary, the salary must be treated as earned income.
Subp. 8.
[Repealed by amendment, 47 SR 391]
Subp. 9.
[Repealed by amendment, 47 SR 391]
Subp. 10. Determination of farm income.
Farm income must be determined for a one-year period. Farm income is determined according to Minnesota Statutes, section 256P.05, subdivision 2. Gross income includes items such as sales, rents, subsidies, farm-related insurance payments, soil conservation payments, production derived from livestock, and income from the sale of home-produced foods.
Subp. 11. Determination of rental income.
A. Income from rental property is considered self-employment earnings when the owner spends an average of 20 or more hours per week on maintenance or management of the property.
B. When an owner does not spend an average of 20 or more hours per week on maintenance or management of the property, income from rental property is considered unearned income.
C. Rental income is determined according to Minnesota Statutes, section 256P.05, subdivision 2.
Subp. 12.
[Repealed, L 2015 c 71 art 5 s 34]
Subp. 13.
[Repealed, L 2015 c 71 art 5 s 34]
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 33 SR 695; L 2003 1Sp14 art 1 s 106; L 2015 c 71 art 5 s 34; L 2017 1Sp5 art 10 s 7; 47 SR 391
Minn. R. 3400.0175 Extended Eligibility
Subpart 1. Three-month extended eligibility period.
Extended eligibility is a period of continued eligibility for a family during the 12-month eligibility period as allowed by Minnesota Statutes, section 119B.105. A family may enter extended eligibility under the circumstances described in Minnesota Statutes, section 119B.105, subdivision 1, paragraph (b), and under the following circumstances.
A. An MFIP or DWP participant has a permanent end to all employment plan activities and is not participating in another authorized activity.
B. An MFIP or DWP participant has been sanctioned for not participating in all employment plan activities and is not participating in authorized activities outside of an employment plan.
C. A parentally responsible individual's unable to care status has expired in a two-parent household.
Subp. 2. Permanent and temporary ends of authorized activity.
A. If a parentally responsible individual reports an end to the parentally responsible individual's authorized activity, a CCAP agency must consider the end of the authorized activity permanent unless the family reports that the end is temporary. The extended eligibility period begins on the day that the authorized activity permanently ends and continues for up to three months or until a family's redetermination, whichever occurs first.
B. If a parentally responsible individual has a temporary end to an authorized activity that becomes a permanent end, the family must report the change to a CCAP agency under Minnesota Statutes, section 256P.07, subdivision 6, paragraph (a), clause (2). The extended eligibility period begins on the date that the change becomes permanent.
C. If a parentally responsible individual has more than one authorized activity, extended eligibility is available to the family when the family reports that all authorized activities ended permanently.
Subp. 3. Requirements at end of extended eligibility.
A. At the end of the extended eligibility period, the parentally responsible individual must participate in an authorized activity for eligibility to continue until the next redetermination according to the following criteria:
B. If the parentally responsible individual is not participating in an authorized activity at the end of the extended eligibility period, a CCAP agency must end the family's eligibility.
C. If a parentally responsible individual in a two-parent household entered extended eligibility because the individual's unable to care status under part 3400.0040, subpart 5, expired and the parentally responsible individual has not re-verified the individual's unable to care status or started participating in an authorized activity by the end of the individual's extended eligibility period, a CCAP agency must end the family's eligibility.
Subp. 4. Extended eligibility at application or redetermination.
A parentally responsible individual is not eligible for extended eligibility when the parentally responsible individual does not have an authorized activity under Minnesota Statutes, section 119B.10, on the application date or redetermination due date. A parentally responsible individual who meets the eligibility requirements at application under part 3400.0040 or at redetermination under part 3400.0180 and experiences a permanent end to the parentally responsible individual's authorized activity after the application date or redetermination due date is eligible for extended eligibility. A family that is eligible under part 3400.0080 or 3400.0090 is not eligible for extended eligibility during the retroactive periods in Minnesota Statutes, sections 119B.09, subdivision 7, and 119B.13, subdivision 6, paragraph (c).
Subp. 5. New authorizations during extended eligibility period.
If a child without an authorization for child care assistance requires child care during an extended eligibility period, a CCAP agency must authorize child care for the child based on the number of child care hours that the CCAP agency authorized for other children in the child's household. If a CCAP agency has not authorized child care of any other children in the household, the CCAP agency must authorize child care for the child based on the number of child care hours for which the family was eligible prior to the beginning of the extended eligibility period.
Subp. 6. New authorized activity during extended eligibility period.
A. If a parentally responsible individual reports that the parentally responsible individual began a new authorized activity prior to the end of the parentally responsible individual's extended eligibility period, the family moves out of extended eligibility and continues to be eligible until the next redetermination according to the following criteria:
B. If a parentally responsible individual began a new authorized activity prior to the end of the extended eligibility period and does not report the new authorized activity, authorizations are approvable retroactively from the date that the extended eligibility period ended, as long as the parentally responsible individual reports the new authorized activity within 90 days after eligibility ended and the parentally responsible individual met all eligibility requirements during the time period after the case closed. A CCAP agency must authorize child care through the end of the 12-month eligibility period as provided by part 3400.0110, subpart 3, and Minnesota Statutes, chapter 119B.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06
- History: 47 SR 391
Minn. R. 3400.0180 Redetermination of Eligibility
Subpart 1. Redetermination time frame.
A CCAP agency must redetermine each participating family's eligibility during the time frame in Minnesota Statutes, section 119B.025, subdivision 3. A CCAP agency may establish criteria in the CCAP agency's child care fund plan to extend redetermination due dates longer than the time frame in Minnesota Statutes, section 119B.025, subdivision 3. A CCAP agency may defer a redetermination until the end of the academic school year for a family in which at least one parentally responsible individual meets the criteria in Minnesota Statutes, section 119B.025, subdivision 3, paragraph (c), clause (3). For purposes of this subpart, the end of the academic school year is August 31 of that year.
Subp. 2. Redetermination processing.
A. A CCAP agency must begin processing a participant's redetermination within ten calendar days from the date that the CCAP agency receives a redetermination form.
B. A participant must submit a signed and completed redetermination form and must provide verification of the participant's continued eligibility under subpart 3.
C. A CCAP agency must not treat a redetermination as a new application for child care assistance.
Subp. 3. Verification requirements.
A. At redetermination, a family must verify:
B. At redetermination, a family may provide verification of:
C. For a CCAP agency to authorize child care at redetermination, an eligible family must:
D. A family must have at least one child who meets the citizenship or immigration status requirement in the Federal Child Care and Development Fund, Code of Federal Regulations, title 45, section 98.20(c), or who is receiving child care in a setting subject to public education standards. For a CCAP agency to authorize child care, a family must verify the child's citizenship or immigration status unless a setting subject to public education standards is providing care for the child.
Subp. 4. Eligibility determination.
At redetermination, a family must meet all applicable requirements under this chapter and Minnesota Statutes, chapter 119B, to continue receiving child care assistance. A CCAP agency must approve a family's eligibility when the CCAP agency receives the family's signed and completed redetermination form and verifications within the time frame identified in Minnesota Statutes, section 119B.025, subdivision 3, and the redetermination form and verifications indicate that the family is eligible. If a CCAP agency determines at redetermination that a family is ineligible for further child care assistance, the CCAP agency must terminate the family's child care assistance as provided in part 3400.0185.
Subp. 5. Unreported changes during 12-month eligibility period.
A. A CCAP agency must determine if information that the CCAP agency receives at redetermination indicates that a family met the reporting requirements in part 3400.0040, subpart 4, during the 12-month eligibility period. If a family did not meet the reporting requirements, a CCAP agency must determine if any unreported changes impacted the family's eligibility or child care authorization during the previous 12-month eligibility period.
B. If a family received more benefits than the family was eligible for during the 12-month eligibility period, a CCAP agency or the commissioner must recoup or recover an overpayment under part 3400.0187 and Minnesota Statutes, section 119B.11, subdivision 2a.
Subp. 6. Reported changes during 12-month eligibility period.
A. If a family reported an income change during the 12-month eligibility period that did not require verification under part 3400.0040, subpart 4a, and the income ends prior to redetermination, a CCAP agency must not require a family to provide verification of that income at redetermination.
B. When a family timely reports information required by part 3400.0040, subpart 4; a CCAP agency timely acts on the information under part 3400.0140, subpart 21; and redetermination results in a decrease in the amount of the family's child care assistance, the amount of child care assistance that the CCAP agency paid on behalf of the family between the date of the change and the date that the new child care assistance payment would be effective is not an overpayment.
Subp. 7. Changes in authorized hours.
If redetermination results in an increase in the number of hours that a CCAP agency authorizes for a child, the increase in hours is effective on the first day of the service period after the CCAP agency approves the redetermination. An increase in child care hours is effective for service periods prior to the date that the CCAP agency approves the redetermination when the family requests and verifies a need for additional child care hours. If redetermination results in a decrease in the number of child care hours that a CCAP agency authorizes for a child, the decrease in hours is effective on the first day of the service period following the 15-day adverse action notice period.
Subp. 8. Copayment changes.
At redetermination, the copayment must be calculated according to Minnesota Statutes, section 119B.12. When a change in income increases the amount of a participant's copayment, the new copayment is effective on the first day of the service period following the 15-day adverse action notice period. When a change in income decreases the amount of the copayment, the new copayment is effective on the first day of the service period after a CCAP agency approves the redetermination.
Subp. 9. Temporary breaks in authorized activity at redetermination.
At redetermination, each family must meet the minimum authorized activity requirements in Minnesota Statutes, section 119B.10. If a parentally responsible individual meets all eligibility requirements and reports a temporary break from the parentally responsible individual's authorized activity and verifies that the parentally responsible individual expects to return to the authorized activity, the CCAP agency must suspend the parentally responsible individual's case following the 15-day adverse action notice period. If a parentally responsible individual meets all eligibility requirements and reports a temporary break from the parentally responsible individual's authorized activity and does not verify that the parentally responsible individual expects to return to the authorized activity, a CCAP agency must place the parentally responsible individual's case in temporary ineligible status following the 15-day adverse action notice period.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0183 Termination of Child Care Assistance
Subpart 1. Conditions for termination of child care assistance.
A. A county or Tribe may terminate child care assistance of a family receiving child care assistance when the county or Tribe receives: (1) a revised allocation from the child care fund that is smaller than the allocation stated in the notice sent to the county or Tribe under part 3400.0060, subpart 2; and (2) such short notice of a change in the county's or Tribe's allocation that the county or Tribe is unable to absorb the difference in the allocation. The county or Tribe must consult with and obtain approval from the commissioner before terminating child care assistance for a family under this subpart.
B. If the conditions described in item A occur and a county or Tribe terminates child care assistance for a family, the county or Tribe must give the family notice as required by part 3400.0185, subpart 12, and terminate assistance to each family in the order of the most recent approval date of eligibility at application, including first-time participants and participants who previously received child care assistance and experienced a break in service and reapplied. When funds become available, a county or Tribe must first determine the eligibility of families whose child care assistance was terminated due to insufficient funds before the county or Tribe approves the eligibility of new applicants.
Subp. 2. Conditions under which termination of child care assistance is required.
A. A CCAP agency must terminate a family's eligibility for child care assistance under the following conditions:
B. During the 12-month eligibility period, a CCAP agency must terminate a family's eligibility for child care assistance under any of the following conditions:
C. At redetermination, a CCAP agency must terminate a family's eligibility for child care assistance under any of the following conditions:
Subp. 3.
[Repealed, 33 SR 695]
Subp. 4.
[Repealed, 33 SR 695]
Subp. 5. Effective date of disqualification period for families.
The effective date of a disqualification period for a family is the later of:
A. the date that the family member was found guilty of wrongfully obtaining or attempting to obtain child care assistance by a federal court or a state court, or an administrative disqualification hearing determination or waiver; through a disqualification consent agreement; as part of an approved diversion plan under Minnesota Statutes, section 401.065; or as part of a court-ordered stay with probationary or other conditions; or
B. the effective date of the child care assistance program termination notice.
Subp. 6. Effective date of disqualification period for child care provider.
The effective date of a disqualification period for a child care provider is the later of:
A. the date that the child care provider was found guilty of an intentional program violation or wrongfully obtaining child care assistance by a federal court, a state court, or an administrative disqualification hearing determination or waiver; through a disqualification consent agreement; as part of an approved diversion plan under Minnesota Statutes, section 401.065; or as part of a court-ordered stay with probationary or other conditions; or
B. the effective date of the child care assistance program termination notice.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01
- History: 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0185 Notice Requirements
Subpart 1.
[Repealed, 47 SR 391]
Subp. 2.
[Repealed, 47 SR 391]
Subp. 3.
[Repealed, 47 SR 391]
Subp. 4.
[Repealed, 47 SR 391]
Subp. 5.
[Repealed, L 2019 1Sp9 art 1 s 43; 47 SR 391]
Subp. 6. Notice of eligibility approval to family.
A CCAP agency must notify a family in writing of the CCAP agency's approval of the family's eligibility.
A. The approval notice must include:
B. The approval notice must state that once a family selects a child care provider who is eligible to receive payment from the child care fund, the child care provider and the family will receive notice from the CCAP agency stating the number of hours of child care that the CCAP agency authorizes and the maximum rate payable under the child care fund.
C. The approval notice must state that, except in cases in which the license of a child care provider licensed by Minnesota has been temporarily immediately suspended under Minnesota Statutes, section 245A.07, or in which there is an imminent risk of harm to the health, safety, or rights of a child in the care of a legal nonlicensed child care provider, certified license-exempt child care center, or child care provider licensed by an entity other than the state of Minnesota, the family must report any change in child care provider to the CCAP agency and the child care provider at least 15 calendar days before the change occurs and include the overpayment implications for not reporting the change.
D. The approval notices must state that when a CCAP agency terminates a participant's child care assistance eligibility, the CCAP agency must inform the participant of the reason for the termination and the participant's appeal rights.
Subp. 7. Notice of eligibility denial to family.
A CCAP agency must notify a family in writing of a denial of a family's eligibility. The denial notice must include:
A. the reason for the denial;
B. the provision in statute, rule, or the CCAP agency's child care fund plan that forms the basis of the denial; and
C. the parentally responsible individual's right to a fair hearing under part 3400.0230 and Minnesota Statutes, section 119B.16.
Subp. 8. Notice of authorization to family.
A CCAP agency must notify a family in writing when the CCAP agency authorizes a family's child care with a child care provider that meets the criteria in part 3400.0120, subpart 1. The authorization notice must include:
A. the family's name;
B. a statement that the CCAP agency approves of the family's request for child care assistance;
C. the number of hours of child care that the CCAP agency authorizes per service period;
D. the maximum rate payable under the child care fund;
E. the number of absent days that the CCAP agency has paid for the child during the calendar year as of the date of the notice; and
F. the amount of the family's copayment.
Subp. 9. Notice of authorization to child care provider.
A CCAP agency must notify a child care provider in writing when the CCAP agency approves of a family's eligibility and authorizes child care with a child care provider that meets the criteria in part 3400.0120, subpart 1. The authorization notice must include:
A. the family's name;
B. a statement that the CCAP agency approves of the family's request for child care assistance;
C. the number of hours of child care that the CCAP agency authorizes per service period;
D. the maximum rate payable under the child care fund;
E. the number of absent days that the CCAP agency has paid for the child during the calendar year as of the date of the notice;
F. how the CCAP agency will issue child care assistance payments to the child care provider; and
G. the amount of the family's copayment.
Subp. 10. Notice to family of adverse action.
A. A CCAP agency must give a participant written notice of any action that adversely affects the participant's child care assistance eligibility or authorization.
B. The notice must include:
C. A CCAP agency must mail the notice to the participant's last known address at least 15 calendar days before the effective date of the adverse action.
D. If the participant corrects the conditions underlying the adverse action before the effective date of the adverse action, the adverse action must not take effect.
Subp. 11. Notice to child care provider of action adverse to family.
A CCAP agency must give a child care provider written notice of a reduction in the hours of authorized child care or an increase in the family's copayment. A CCAP agency must mail the notice to the child care provider at least 15 calendar days before the effective date of the adverse action and include:
A. the family's name;
B. a description of the adverse action that omits information about the reasons for the adverse action;
C. the effective date of the adverse action; and
D. a statement that unless the family appeals the adverse action before the effective date, the adverse action will occur on the effective date.
Subp. 12. Notice of termination of child care assistance to family.
A. A CCAP agency must notify a participant in writing of the termination of the participant's child care assistance. The notice must include:
B. A CCAP agency must mail the notice to the participant's last known address at least 15 calendar days before terminating the participant's child care assistance.
C. If the CCAP agency terminates the participant's child care assistance under part 3400.0183, subpart 2, item A, subitem (1), and, before the effective date of termination, the participant requests to continue receiving child care assistance, the termination must not take effect. If a CCAP agency terminates the participant's child care assistance under part 3400.0183, subpart 2, item A, subitem (2), and, before the effective date of termination, the participant reestablishes eligibility for child care assistance, the termination must not take effect.
Subp. 13. Notice of termination of child care assistance to child care provider.
A. A CCAP agency must notify a family's child care provider in writing when a CCAP agency terminates a family's child care assistance. The CCAP agency must mail the termination notice to the child care provider at least 15 calendar days before the effective date of the termination and include:
B. A CCAP agency must notify a family's child care provider in writing when the family decides to no longer use the child care provider. A CCAP agency must mail a termination notice to a child care provider at least 15 calendar days before the effective date of the termination and must include:
C. This item applies to child care providers licensed in Minnesota. Except in cases in which the provider's license has been temporarily immediately suspended under Minnesota Statutes, section 245A.07, a CCAP agency must mail a notice of termination to a child care provider at least 15 calendar days before terminating payment to the child care provider. When a child care provider's license has been temporarily immediately suspended under Minnesota Statutes, section 245A.07, a CCAP agency must send a notice of termination to the child care provider that is effective on the date of the temporary immediate suspension.
D. This item applies to legal nonlicensed child care providers, certified license-exempt child care centers, and child care providers licensed by an entity other than the state of Minnesota. Except in cases in which there is an imminent risk of harm to the health, safety, or rights of a child in child care, a CCAP agency must mail a notice of termination to a child care provider at least 15 calendar days before terminating payment to the child care provider. In cases in which there is an imminent risk of harm to the health, safety, or rights of a child in child care, a CCAP agency must send a notice of termination to the child care provider that is effective on the date of the notice.
E. When a child care provider's payment is suspended under Minnesota Statutes, chapter 245E, or a child care provider's registration is denied or revoked under Minnesota Statutes, section 119B.13, subdivision 6, paragraph (d), clause (1) or (2), a CCAP agency or the commissioner must send a notice of termination to the child care provider effective on the date that the CCAP agency or the commissioner creates the notice.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01
- History: 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0187 Recoupment and Recovery of Overpayments
Subpart 1.
[Repealed, 47 SR 391]
Subp. 1a.
[Repealed, 33 SR 695]
Subp. 1b. Calculation of overpayment.
When determining an overpayment, a CCAP agency or the commissioner must assess the dates during which a family or child care provider received more child care assistance than the family or child care provider was eligible to receive. With the exception of overpayments designated solely as agency error under Minnesota Statutes, section 119B.11, subdivision 2a, paragraph (a), the overpayment must include all amounts that the CCAP agency or commissioner determines were overpaid according to time frames specified in Minnesota Statutes, section 119B.11, subdivision 2a, paragraph (h).
Subp. 2. Notice of overpayment.
A CCAP agency or the commissioner must notify the person, persons, or entity who is assigned responsibility for the overpayment of the overpayment in writing. A notice of overpayment must specify the reason for the overpayment, the time period during which the overpayment occurred, the amount of the overpayment, and the right to appeal the CCAP agency's or commissioner's overpayment determination.
Subp. 3.
[Repealed, 47 SR 391]
Subp. 4. Recoupment of overpayments from participants.
A CCAP agency or the commissioner must recoup an overpayment by reducing the amount of assistance paid to or on behalf of the family for every service period at the rates in item A, B, C, or D until the overpayment debt is retired.
A. When a family has an overpayment due to a child care provider error or a combination of child care provider and agency error, the recoupment amount is one-fourth of the family's copayment or $10, whichever is greater.
B. When a family has an overpayment due to the family's first failure to report changes as required by part 3400.0040, subpart 4, or a combination of a family's first failure to report and agency error, the recoupment amount is one-half of the family's copayment or $10, whichever is greater.
C. When a family has an overpayment due to the family's failure to provide accurate information at the time of application or redetermination or the family's second or subsequent failure to report changes as required by part 3400.0040, subpart 4, or a combination of these violations with agency error, the recoupment amount is one-half of the family's copayment or $50, whichever is greater.
D. When a family has an overpayment due to a violation of Minnesota Statutes, section 256.98, as established by a court conviction, a court-ordered stay of a conviction with probationary or other terms, a disqualification agreement, a pretrial diversion, or an administrative disqualification hearing or waiver, the recoupment amount equals the greater of:
E. This item applies to families who have been disqualified or found to be ineligible for the child care assistance program and who have outstanding overpayments. If a disqualified or previously ineligible family returns to the child care assistance program, a CCAP agency or the commissioner must begin recouping the family's outstanding overpayment using the recoupment schedule in items A to D unless another repayment schedule has been specified in a court order.
F. If a family has more than one overpayment, the overpayments must not be consolidated into one overpayment. Instead, each overpayment must be recouped according to the schedule specified in this subpart from the child care benefit paid for the service period. If the amount to be recouped in a service period exceeds the child care benefit paid for that service period, the amount recouped must be applied to overpayments in the following order:
Subp. 5.
[Repealed, 33 SR 695]
Subp. 6. Recoupment of overpayment from child care provider.
If a child care provider continues to receive child care assistance payments, a CCAP agency or the commissioner must recoup an overpayment by reducing the amount of assistance paid to the child care provider for every payment at the rates in item A, B, or C until the overpayment debt is retired.
A. When a child care provider has an overpayment due to a family error or a combination of family and agency error, the recoupment amount is one-tenth of the provider's payment or $20, whichever is greater.
B. When a child care provider has an overpayment due to the child care provider's failure to provide accurate information or a combination of a child care provider's failure to report accurate information and agency error, the recoupment amount is one-fourth of the child care provider's payment or $50, whichever is greater.
C. When a child care provider has an overpayment due to a violation of Minnesota Statutes, section 256.98, as established by a court conviction, a court-ordered stay of conviction with probationary or other terms, a disqualification agreement, a pretrial diversion, or an administrative disqualification hearing or waiver, the recoupment amount equals the greater of:
D. This item applies to child care providers who have been disqualified from or are no longer able to be authorized by the child care assistance program and who have outstanding overpayments. If a child care provider returns to the child care assistance program as a child care provider or a participant, a CCAP agency or the commissioner must begin recouping the child care provider's outstanding overpayment using the recoupment schedule in items A to C unless another repayment schedule has been specified in a court order.
E. If a child care provider has more than one overpayment assessed for different incidents, a CCAP agency or the commissioner must not consolidate the overpayments into one overpayment. Instead, each overpayment must be recouped according to the schedule in this subpart from the payment made to the child care provider for the service period. If the amount to be recouped in a service period exceeds the payment to the child care provider for that service period, the amount recouped must be applied to overpayments in the following order:
F. If the commissioner or more than one CCAP agency assesses multiple overpayments to a child care provider for the same incident, the commissioner or each CCAP agency must assess each overpayment separately. A CCAP agency or the commissioner must recoup only one overpayment per incident at a time according to the schedule in this subpart until the overpayment debt is retired. A CCAP agency or the commissioner must recoup any overpayment that the commissioner or CCAP agency assesses for a different incident simultaneously under item E.
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01
- History: 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0190 [Repealed, 26 SR 253]
[Repealed, 26 SR 253]
Minn. R. 3400.0200 [Repealed, 47 SR 391]
[Repealed, 47 SR 391]
Minn. R. 3400.0210 [Repealed, 33 SR 695]
[Repealed, 33 SR 695]
Minn. R. 3400.0220 [Repealed, 47 SR 391]
[Repealed, 47 SR 391]
Minn. R. 3400.0230 Right to Fair Hearing
Subpart 1.
[Repealed, 33 SR 695]
Subp. 2.
[Repealed, 33 SR 695]
Subp. 3. Child care payments pending fair hearing.
A. If the applicant or participant requests a fair hearing before the effective date of termination or adverse action or within ten days after the date of mailing the notice, whichever is later, the commissioner or CCAP agency must not terminate the applicant's or participant's child care assistance or take the adverse action until the conclusion of the fair hearing. Child care assistance paid pending a fair hearing is subject to recovery under part 3400.0187 to the extent that the commissioner finds on appeal that the participant was not eligible for the amount of child care assistance paid.
B. If the commissioner finds on appeal that child care assistance should have been terminated or the amount of benefits reduced, a CCAP agency must send a notice of termination or reduction in benefits to the family and the child care provider as required by part 3400.0185 and determine if an overpayment needs to be recouped or recovered according to Minnesota Statutes, section 119B.11, subdivision 2a.
C. A participant may appeal the termination of child care assistance and choose not to receive child care assistance pending the appeal. If the commissioner finds on appeal that child care assistance should not have been terminated, a CCAP agency must reinstate the participant's eligibility retroactively from the date of the termination and issue payments to an eligible child care provider under part 3400.0120, subpart 1, when the child care provider bills according to Minnesota Statutes, section 119B.13, subdivision 6, paragraphs (a) to (c), for child care expenditures incurred pending the appeal.
Subp. 4. Child care payments pending fair hearing or administrative disqualification hearing.
A. If a child care provider requests a fair hearing before the effective date of a termination or an adverse action, the termination or adverse action must not take effect until the conclusion of the hearing, unless:
B. Child care assistance that a CCAP agency pays to a child care provider pending a hearing is subject to recovery under part 3400.0187 when the commissioner finds on appeal that the child care provider was not eligible for the paid amount of child care assistance.
C. A child care provider may request a fair hearing under Minnesota Statutes, section 119B.16, subdivision 1a, and choose not to receive child care assistance pending appeal. If, on appeal, the commissioner finds that child care assistance should not have been terminated or an adverse action should not have been taken:
Subp. 5. Child care payments pending administrative review.
A. If a child care provider requests an administrative review under Minnesota Statutes, section 119B.161, a CCAP agency or the commissioner must stop payments during the administrative review.
B. If a child care provider's payments are suspended under Minnesota Statutes, chapter 245E, or the child care provider's registration is denied or revoked under Minnesota Statutes, section 119B.13, subdivision 6, paragraph (d), clause (1) or (2), and:
History
- Statutory Authority: MS s 119B.02; 119B.04; 119B.06; 256.01; 256H.01 to 256H.19
- History: 14 SR 519; 18 SR 1144; 26 SR 253; 33 SR 695; 47 SR 391
Minn. R. 3400.0235 Repealed by subpart
Subpart 1.
[Repealed, 47 SR 391]
Subp. 2.
[Repealed, 47 SR 391]
Subp. 3.
[Repealed, 47 SR 391]
Subp. 4.
[Repealed, 47 SR 391]
Subp. 5.
[Repealed, 47 SR 391]
Subp. 6.
[Repealed, 47 SR 391]
Subp. 7.
[Repealed, 33 SR 695]
Chapter 9500 ASSISTANCE PAYMENTS PROGRAMS
Minn. R. 9500.0010 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0020 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0030 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0040 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0050 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0060 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0070 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0080 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0090 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0100 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0110 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0120 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0130 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0140 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0150 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0160 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0170 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0180 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0190 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0200 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0210 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0220 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0230 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0240 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0250 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0260 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0270 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0280 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0290 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0300 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0310 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0320 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0330 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0340 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0350 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0360 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0361 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0370 [Repealed, 11 SR 212]
[Repealed, 11 SR 212]
Minn. R. 9500.0500 [Repealed, 10 SR 1715]
[Repealed, 10 SR 1715]
Minn. R. 9500.0510 [Renumbered 9500.1202]
[Renumbered 9500.1202]
Minn. R. 9500.0520 [Renumbered 9500.1204]
[Renumbered 9500.1204]
Minn. R. 9500.0530 Repealed by subpart
A. [Renumbered 9500.1208, item A]
B. [Renumbered 9500.1208, item B]
C. [Renumbered 9500.1208, item C]
D. [Renumbered 9500.1208, item D]
E. Repealed, 10 SR 1715]
Minn. R. 9500.0531 [Renumbered 9500.1210]
[Renumbered 9500.1210]
Minn. R. 9500.0532 [Renumbered 9500.1212]
[Renumbered 9500.1212]
Minn. R. 9500.0540 [Renumbered 9500.1234]
[Renumbered 9500.1234]
Minn. R. 9500.0550 [Renumbered 9500.1236]
[Renumbered 9500.1236]
Minn. R. 9500.0560 [Renumbered 9500.1238]
[Renumbered 9500.1238]
Minn. R. 9500.0570 [Renumbered 9500.1240]
[Renumbered 9500.1240]
Minn. R. 9500.0580 [Renumbered 9500.1242]
[Renumbered 9500.1242]
Minn. R. 9500.0590 [Renumbered 9500.1244]
[Renumbered 9500.1244]
Minn. R. 9500.0600 [Renumbered 9500.1246]
[Renumbered 9500.1246]
Minn. R. 9500.0610 [Renumbered 9500.1248]
[Renumbered 9500.1248]
Minn. R. 9500.0650 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9500.0660 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9500.0670 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9500.0680 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9500.0690 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9500.0700 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9500.0710 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9500.0750 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0760 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0770 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0780 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0790 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0800 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0810 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0820 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0830 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0840 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0850 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0860 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0900 [Repealed, 12 SR 624]
[Repealed, 12 SR 624]
Minn. R. 9500.0910 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0920 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0930 Repealed by subpart
Subpart 1.
[Repealed, 11 SR 1069]
Subp. 2.
[Repealed, 11 SR 1069]
Subp. 3.
[Repealed, 11 SR 1069]
Subp. 4.
[Repealed, 12 SR 624]
Minn. R. 9500.0940 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0950 [Repealed, 11 SR 1069]
[Repealed, 11 SR 1069]
Minn. R. 9500.0960 [Repealed, 12 SR 624]
[Repealed, 12 SR 624]
Minn. R. 9500.0970 [Repealed, 12 SR 624]
[Repealed, 12 SR 624]
Minn. R. 9500.0980 [Repealed, 10 SR 842]
[Repealed, 10 SR 842]
Minn. R. 9500.0990 [Repealed, 12 SR 624]
[Repealed, 12 SR 624]
Minn. R. 9500.1000 [Repealed, 12 SR 624]
[Repealed, 12 SR 624]
Minn. R. 9500.1060 [Repealed, 12 SR 624]
[Repealed, 12 SR 624]
Minn. R. 9500.1070 Repealed by subpart
Subpart 1.
[Repealed, 22 SR 340]
Subp. 2.
[Repealed, 12 SR 624]
Subp. 3.
[Repealed, 12 SR 624]
Subp. 4.
[Repealed, 14 SR 8]
Subp. 5.
[Repealed, 12 SR 624]
Subp. 6.
[Repealed, 14 SR 8]
Subp. 7.
[Repealed, 12 SR 624]
Subp. 8.
[Repealed, 12 SR 624]
Subp. 9.
[Repealed, 12 SR 624]
Subp. 10.
[Repealed, 10 SR 842; 12 SR 624]
Subp. 11.
[Repealed, 12 SR 624]
Subp. 12.
[Repealed, 15 SR 2404]
Subp. 13.
[Repealed, 15 SR 2404]
Subp. 14.
[Repealed, 15 SR 2404]
Subp. 15.
[Repealed, 15 SR 2404]
Subp. 16.
[Repealed, 12 SR 624]
Subp. 17.
[Repealed, 12 SR 624]
Subp. 18.
[Repealed, 12 SR 624]
Subp. 19.
[Repealed, 12 SR 624]
Subp. 20.
[Repealed, 12 SR 624]
Subp. 21.
[Repealed, 12 SR 624]
Subp. 22.
[Repealed, 12 SR 624]
Subp. 23.
[Repealed, 14 SR 8]
Subp. 24.
[Repealed, 12 SR 624]
Minn. R. 9500.1080 [Repealed, 12 SR 624]
[Repealed, 12 SR 624]
Minn. R. 9500.1090 Purpose and Scope
Parts 9500.1090 to 9500.1140 establish a prospective payment system for inpatient hospital services provided under the medical assistance and general assistance medical care programs.
Parts 9500.1090 to 9500.1140 are not applicable to inpatient hospital services provided by state-owned hospitals or to facilities of the Indian health service and facilities operated by a tribe or tribal organization under funding authorized by title I or III of the Indian Self-Determination and Education Assistance Act, Public Law 93-638, or by United States Code, title 25, chapter 14, subchapter II, sections 450f and 450n.
If it is determined that any provision of parts 9500.1090 to 9500.1140 conflicts with requirements of the federal government with respect to federal financial participation in medical assistance, the federal requirements prevail.
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695
- History: 10 SR 227; 11 SR 1688; 13 SR 1689; 18 SR 1115; 26 SR 976
Minn. R. 9500.1095 Statutory Authority
Parts 9500.1090 to 9500.1140 are authorized by Minnesota Statutes, sections 256.9685, 256.9686, 256.969, and 256.9695. Parts 9500.1090 to 9500.1140 must be read in conjunction with Titles XVIII and XIX of the Social Security Act, Code of Federal Regulations, title 42, Minnesota Statutes, chapters 256, 256B, and 256D, parts 9505.0170 to 9505.0475 which govern covered services, parts 9505.5000 to 9505.5030 which govern prior authorization, parts 9505.0545 and 9505.5035 to 9505.5105 which govern second surgical opinion, and parts 9505.0500 to 9505.0540 which govern admission certification.
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695
- History: 10 SR 227; 13 SR 1689; 18 SR 1115
Minn. R. 9500.1100 Definitions
Subpart 1. Scope.
As used in parts 9500.1090 to 9500.1140, the terms in subparts 1a to 51 are defined as follows.
Subp. 1a. Accommodation service.
"Accommodation service" means those inpatient hospital services included by a hospital in a daily room charge. Accommodation services are composed of general routine services and special care units. These routine and special care units include the nursery, coronary, intensive, neonatal, rehabilitation, psychiatric, and chemical dependency care units.
Subp. 2. Adjusted base year operating cost.
"Adjusted base year operating cost" means a hospital's allowable base year operating cost per admission or per day, adjusted by the hospital cost index.
Subp. 3. Admission.
"Admission" means the time of birth at a hospital or the act that allows a patient to officially enter a hospital to receive inpatient hospital services under the supervision of a physician who is a member of the medical staff.
Subp. 4.
[Repealed, 18 SR 1115]
Subp. 4a.
[Repealed, 18 SR 1115]
Subp. 5. Allowable base year operating cost.
"Allowable base year operating cost" means a hospital's base year inpatient hospital cost per admission or per day, that is adjusted for case mix and excludes property costs.
Subp. 6. Ancillary service.
"Ancillary service" means inpatient hospital services that include laboratory and blood, radiology, anesthesiology, electrocardiology, electroencephalography, pharmacy and intravenous therapy, delivery and labor room, operating and recovery room, emergency room and outpatient clinic, observation beds, respiratory therapy, physical therapy, occupational therapy, speech therapy, medical supplies, renal dialysis, and psychiatric and chemical dependency services customarily charged in addition to an accommodation service charge.
Subp. 7.
[Repealed, 18 SR 1115]
Subp. 8.
[Repealed, 18 SR 1115]
Subp. 8a.
[Repealed, 18 SR 1115]
Subp. 9. Base year.
"Base year" means a hospital's fiscal year that is recognized by Medicare, or a hospital's fiscal year specified by the commissioner if a hospital is not required to file information with Medicare, from which cost and statistical data are used to establish medical assistance and general assistance medical care rates.
Subp. 10.
[Repealed, 18 SR 1115]
Subp. 11. Case mix.
"Case mix" means a hospital's admissions distribution of relative values among the diagnostic categories.
Subp. 12.
[Repealed, 18 SR 1115]
Subp. 12a. Charges.
"Charges" means the usual and customary payment requested by the hospital of the general public.
Subp. 12b. City of the first class.
"City of the first class" means a city that has more than 100,000 inhabitants, provided that once a city is defined to be of the first class, it shall not be reclassified unless its population decreases by 25 percent from the census figures which last qualified the city for inclusion in the class.
Subp. 13.
[Repealed, 18 SR 1115]
Subp. 14. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or an authorized representative of the commissioner.
Subp. 15.
[Repealed, 18 SR 1115]
Subp. 16. Cost-to-charge ratio.
"Cost-to-charge ratio" means a ratio of a hospital's inpatient hospital costs to its charges.
Subp. 17.
[Repealed, 18 SR 1115]
Subp. 18. Day outlier.
"Day outlier" means an admission whose length of stay exceeds the mean length of stay for neonate and burn diagnostic categories by one standard deviation, and in the case of all other diagnostic categories by two standard deviations.
Subp. 19. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 20.
[Repealed, 18 SR 1115]
Subp. 20a. Diagnostic categories.
"Diagnostic categories" means the diagnostic classifications containing one or more diagnosis related groups (DRG's) used by the Medicare program and identified in parts 9500.1090 to 9500.1140. The DRG classifications must be assigned according to the base year program and specialty groups with modifications as specified in subparts 20b to 20g.
Subp. 20b. Diagnostic categories eligible under the medical assistance program.
The following diagnostic categories are for persons eligible under the medical assistance program except as provided in subpart 20d, 20e, or 20f:
A. Nervous System Diseases and Disorders
B. Eye Diseases and Disorders
C. Ear, Nose, Throat, and Mouth Diseases and Disorders
D. Respiratory System Diseases and Disorders
E. Circulatory System Diseases and Disorders
F. Digestive System Diseases and Disorders
G. Hepatobiliary System Diseases and Disorders
H. Diseases and Disorders of the Musculoskeletal System and Connective Tissues
I. Diseases and Disorders of the Skin, Subcutaneous Tissue, and Breast
J. Endocrine, Nutritional, and Metabolic Diseases and Disorders
K. Kidney and Urinary Tract Diseases and Disorders
L. Male Reproductive System Diseases and Disorders
M. Female Reproductive System Diseases and Disorders
N. Pregnancy Related Conditions
O. [Reserved for future use]
P. Blood and Immunity Disorders
Q. Myeloproliferative Diseases and Disorders, Poorly Differentiated Malignancy and other Neoplasms
R. Infections and Parasitic Diseases
S. Mental Diseases and Disorders
T. Substance Use and Substance Induced Organic Mental Disorder
U. [Reserved for future use]
V. Injuries, Poisonings, and Toxic Effects of Drugs
W. Burns
X. Factors Influencing Health Status
Y. [Reserved for future use]
Z. [Reserved for future use]
AA. [Reserved for future use]
BB. [Reserved for future use]
CC. Caesarean Sections
DD. Vaginal Delivery
EE. [Reserved for future use]
FF. Depressive Neuroses
GG. Psychoses
HH. Childhood Mental Disorders
II. Unrelated Operating Room Procedures
JJ. [Reserved for future use]
KK. Extreme Immaturity
LL. Prematurity with Major Problems
MM. Prematurity Without Major Problems and Neonates Died
NN. Full Term Neonates With
OO. Multiple Significant Trauma
PP. [Reserved for future use]
QQ. Normal Newborns
RR. [Reserved for future use]
SS. [Reserved for future use]
TT. [Reserved for future use]
UU. Organ and Cell Transplants
VV. [Reserved for future use]
WW. Human Immunodeficiency Virus
Subp. 20c.
[Repealed, 31 SR 819]
Subp. 20d. Diagnostic categories for persons eligible under the general assistance medical care program.
The following diagnostic categories are for persons eligible under the general assistance medical care program except as provided in subpart 20e or 20f:
A. Nervous System Conditions
B. Eye Diseases and Disorders
C. Ear, Nose, Throat, and Mouth Diseases and Disorders
D. Respiratory System Conditions
E. Circulatory System Conditions
F. Digestive System Diseases and Disorders
G. Hepatobiliary System Conditions
H. Diseases and Disorders of the Musculoskeletal System and Connective Tissues
I. Diseases and Disorders of the Skin, Subcutaneous Tissue, and Breast
J. Endocrine, Nutritional, and Metabolic Diseases and Disorders
K. Kidney and Urinary Tract Conditions
L. Male Reproductive System Conditions
M. Female Reproductive System Diseases and Disorders
N. Pregnancy Related Conditions
O. [Reserved for future use]
P. Blood and Immunity Disorders
Q. Myeloproliferative Diseases and Disorders, Poorly Differentiated Malignancy and Other Neoplasms
R. Infections and Parasitic Diseases
S. Mental Diseases and Disorders
T. Substance Use and Substance Induced Organic Mental Disorder
U. [Reserved for future use]
V. Injuries, Poisonings, and Toxic Effects of Drugs
W. Burns
X. Factors Influencing Health Status
Y. [Reserved for future use]
AA. [Reserved for future use]
BB. [Reserved for future use]
CC. [Reserved for future use]
DD. [Reserved for future use]
EE. [Reserved for future use]
FF. [Reserved for future use]
GG. [Reserved for future use]
HH. [Reserved for future use]
II. Operating Room Procedure Unrelated to Principal Diagnosis
JJ. [Reserved for future use]
KK. [Reserved for future use]
LL. [Reserved for future use]
MM. [Reserved for future use]
NN. [Reserved for future use]
OO. Multiple Significant Trauma
PP. [Reserved for future use]
QQ. [Reserved for future use]
RR. [Reserved for future use]
SS. [Reserved for future use]
TT. [Reserved for future use]
UU. ECMO/Tracheostomy and Burns
VV. [Reserved for future use]
WW. Human Immunodeficiency Virus
Subp. 20e. Diagnostic categories relating to a rehabilitation hospital or a rehabilitation distinct part.
The following diagnostic categories are for services provided within a rehabilitation hospital or a rehabilitation distinct part regardless of program eligibility:
A. Nervous System Diseases and Disorders
B. [Reserved for future use]
C. [Reserved for future use]
D. [Reserved for future use]
E. [Reserved for future use]
F. [Reserved for future use]
G. [Reserved for future use]
H. Diseases and Disorders of the Musculoskeletal System and Connective Tissues
I. [Reserved for future use]
J. [Reserved for future use]
K. [Reserved for future use]
L. [Reserved for future use]
M. [Reserved for future use]
N. [Reserved for future use]
O. [Reserved for future use]
P. [Reserved for future use]
Q. [Reserved for future use]
R. Mental Diseases and Disorders/Substance Use and Substance Induced Organic Mental Disorders
S. Multiple Significant Trauma/Unrelated Operating Room Procedures
T. Other Conditions Requiring Rehabilitation Services
U. [Reserved for future use]
V. [Reserved for future use]
W. [Reserved for future use]
X. [Reserved for future use]
Y. Specific late effects or conditions secondary to a spinal cord or intracranial injury or skull fracture which result in paraplegia
Z. Specific late effects or conditions secondary to a spinal cord or intracranial injury or skull fracture which result in quadriplegia or hemiplegia
Subp. 20f. Diagnostic categories for neonatal transfers.
The following diagnostic categories are for services provided to neonatal transfers at receiving hospitals with neonatal intensive care units regardless of program eligibility:
A. [Reserved for future use]
B. [Reserved for future use]
C. [Reserved for future use]
D. [Reserved for future use]
E. [Reserved for future use]
F. [Reserved for future use]
G. [Reserved for future use]
H. [Reserved for future use]
I. [Reserved for future use]
J. [Reserved for future use]
K. [Reserved for future use]
L. [Reserved for future use]
M. [Reserved for future use]
N. [Reserved for future use]
O. [Reserved for future use]
P. [Reserved for future use]
Q. [Reserved for future use]
R. [Reserved for future use]
S. [Reserved for future use]
T. [Reserved for future use]
U. [Reserved for future use]
V. [Reserved for future use]
W. [Reserved for future use]
X. [Reserved for future use]
Y. [Reserved for future use]
Z. [Reserved for future use]
AA. [Reserved for future use]
BB. [Reserved for future use]
CC. [Reserved for future use]
DD. [Reserved for future use]
EE. [Reserved for future use]
FF. [Reserved for future use]
GG. [Reserved for future use]
HH. [Reserved for future use]
II. [Reserved for future use]
JJ. [Reserved for future use]
KK. Extreme Immaturity and Tracheostomy
LL. Prematurity with Major Problems
MM. Prematurity without Major Problems
NN. Full Term Neonates
Subp. 20g. Additional DRG requirements.
A. Version 23 of the Medicare grouper and DRG assignment to the diagnostic category must be used uniformly for all determinations of rates and payments.
B. The discharge status will be changed to "discharge to home" for DRG 433.
C. A diagnosis with the prefix "v57" will be excluded when grouping under subpart 20e.
D. The discharge status will be changed to "discharge to home" when grouping under subparts 20b and 20d for a transfer to a Medicare rehabilitation distinct part.
E. A transfer from subpart 20b or 20d, which included ICD-9-CM procedure code 86.06 (implantation of a totally implantable infusion pump) for the treatment of spasticity, to a Medicare rehabilitation distinct part must include ICD-9-CM diagnosis code 781.0 when grouping under subpart 20e.
F. Neonates transferred into a neonatal intensive care unit with a DRG assignment of DRG 482, 541, or 542, age less than one year, will be grouped under subpart 20f.
G. The discharge status will be changed to "discharge to home" for all neonates in DRG 385, except for neonates that expire at the birth hospital and the discharge date is the same as the date of birth.
H. For payment of admissions that result from a home health nurse being unavailable, and there is one or more acute episodes of illness during the admission resulting in changes in physician orders and the treatment plan, the principal diagnoses V58.89, other specified aftercare and V63.1, medical services in home not available will be excluded.
I. For neonates transferred into a neonatal intensive care unit within 28 days of birth, with a principal diagnosis of congenital anomaly (ICD-9-CM code 740-759) and a secondary diagnosis of conditions originating in the perinatal period (ICD-9-CM code 760-779), the principal diagnosis and the first sequenced secondary diagnosis in the range 760-779 will be interchanged when grouping under subpart 20f.
J. The admission source will be changed to "admitted as a transfer from another hospital" for neonates born before admission to the hospital and admitted directly to a Level IV neonatal intensive care unit.
K. For patients in DRG 386-390 and the age is greater than zero, the principal diagnosis from ICD-9-CM Chapter 15, certain conditions originating in the perinatal period (diagnoses codes 760-779), will be excluded when grouping under subparts 20b and 20d.
L. For payment under DRG 521, alcohol/drug abuse or dependence with complications or comorbidities, payment shall not be made for patients engaged in alcohol and/or drug rehabilitation.
M. The patient age will be changed to 18 years for DRG 003. If the admission subsequently groups to DRG 529 or 530, that DRG will be assigned. Otherwise the admission will remain in DRG 003.
N. The admission source will be changed to "admitted as a transfer from a different acute care hospital" for all newborns admitted to the hospital within the first 28 days after birth with a principal diagnosis of V29.0-V29.9.
O. The prematurity subcategory diagnosis codes 765.20 and 765.26 through 765.29 will be ignored when assigning a DRG if a diagnosis code from 764, 765.0, or 765.1 is not included on the claim.
Subp. 21.
[Repealed, 18 SR 1115]
Subp. 22. General assistance medical care.
"General assistance medical care" means the program established by Minnesota Statutes, section 256D.03.
Subp. 23.
[Repealed, 18 SR 1115]
Subp. 24.
[Repealed, 18 SR 1115]
Subp. 24a.
[Repealed, 18 SR 1115]
Subp. 25. Hospital.
"Hospital" means a facility defined in Minnesota Statutes, section 144.696, subdivision 3, and licensed under Minnesota Statutes, sections 144.50 to 144.581, or an out-of-state facility licensed to provide acute care under the requirements of the state in which it is located.
Subp. 26. Hospital cost index.
"Hospital cost index" means the factor annually multiplied by the allowable base year operating cost to adjust for cost changes.
Subp. 26a. Inpatient hospital costs.
"Inpatient hospital costs" means a hospital's base year inpatient hospital service costs determined allowable under the cost finding methods of Medicare, but not to include the medical assistance surcharge, without regard to adjustments in payments imposed by Medicare.
Subp. 27. Inpatient hospital service.
"Inpatient hospital service" means a service provided by or under the supervision of a physician after admission to a hospital and furnished in the hospital, including outpatient services provided by the same hospital that directly precede the admission.
Subp. 28.
[Repealed, 18 SR 1115]
Subp. 28a. Local trade area hospital.
"Local trade area hospital" means a metropolitan statistical area hospital located outside Minnesota in a county contiguous to Minnesota that has 20 or more medical assistance admissions in the base year.
Subp. 28b. Long-term care hospital.
"Long-term care hospital" means a Minnesota hospital or a metropolitan statistical area hospital located outside Minnesota in a county contiguous to Minnesota that meets the requirements under Code of Federal Regulations, title 42, part 412, section 23(e).
Subp. 28c. Low volume local trade area hospital.
"Low volume local trade area hospital" means a metropolitan statistical area hospital located outside Minnesota in a county contiguous to Minnesota that has less than 20 medical assistance admissions in the base year.
Subp. 29. Medical assistance.
"Medical assistance" means the program established under Title XIX of the Social Security Act and Minnesota Statutes, sections 256.9685 to 256.9695 and chapter 256B. For purposes of parts 9500.1090 to 9500.1155, "medical assistance" includes general assistance medical care unless otherwise specifically stated.
Subp. 30.
[Repealed, 18 SR 1115]
Subp. 30a.
[Repealed, 18 SR 1115]
Subp. 31. Medicare.
"Medicare" means the federal health insurance program established under Title XVIII of the Social Security Act.
Subp. 32. Medicare crossover.
"Medicare crossover" means a claim submitted by a hospital to request payment for Medicare Part A covered inpatient hospital services provided to a patient who is also eligible for medical assistance.
Subp. 33. Metropolitan statistical area hospital.
"Metropolitan statistical area hospital" means a hospital located in a metropolitan statistical area as determined by Medicare for the October 1 prior to the most current rebased rate year.
Subp. 33a.
[Repealed, 18 SR 1115]
Subp. 34. Nonmetropolitan statistical area hospital.
"Nonmetropolitan statistical area hospital" means a Minnesota hospital not located in a metropolitan statistical area as determined by Medicare for the October 1 prior to the most current rebased rate year.
Subp. 35. Operating costs.
"Operating costs" means inpatient hospital costs excluding property costs.
Subp. 36.
[Repealed, 26 SR 976]
Subp. 37. Out-of-area hospital.
"Out-of-area hospital" means a hospital located outside Minnesota that is not a local trade area hospital or a low volume local trade area hospital.
Subp. 38. Property costs.
"Property costs" means inpatient hospital costs not subject to the hospital cost index, including depreciation, interest, rents and leases, property taxes, and property insurance.
Subp. 39.
[Repealed, 18 SR 1115]
Subp. 40.
[Repealed, 18 SR 1115]
Subp. 41.
[Repealed, 18 SR 1115]
Subp. 41a. Rate year.
"Rate year" means a calendar year from January 1 to December 31.
Subp. 42.
[Repealed, 18 SR 1115]
Subp. 43.
[Repealed, 18 SR 1115]
Subp. 43a.
[Repealed, 18 SR 1115]
Subp. 44.
[Repealed, 18 SR 1115]
Subp. 44a. Rehabilitation distinct part.
"Rehabilitation distinct part" means inpatient hospital services that are provided by a hospital in a unit designated by Medicare as a rehabilitation distinct part.
Subp. 45. Relative value.
"Relative value" means the mean operating cost within a diagnostic category divided by the mean operating cost in all diagnostic categories within a program at subpart 20b or 20d or specialty group at subpart 20e or 20f.
Subp. 46.
[Repealed, 18 SR 1115]
Subp. 47.
[Repealed, 18 SR 1115]
Subp. 47a.
[Repealed, 18 SR 1115]
Subp. 48.
[Repealed, 18 SR 1115]
Subp. 49.
[Repealed, 18 SR 1115]
Subp. 50. Transfer.
"Transfer" means the movement of a patient after admission from one hospital directly to another hospital with a different provider number or to or from a rehabilitation distinct part.
Subp. 51. Trim point.
"Trim point" means that number of inpatient days beyond which an admission is a day outlier.
Subp. 52.
[Repealed, 18 SR 1115]
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695
- History: 10 SR 227; 11 SR 987; 11 SR 1688; 12 SR 1617; 13 SR 1689; 14 SR 8; 14 SR 1005; 18 SR 1115; 19 SR 1191; 23 SR 1627; 25 SR 1021; 26 SR 976; 27 SR 1515; 31 SR 819
Minn. R. 9500.1105 Basis of Payment for Inpatient Hospital Services
Subpart 1. Reporting requirements.
A. No later than October 1 preceding a rebased rate year or 60 days from the department's request, whichever is later, a Minnesota and local trade area hospital must provide to the department complete, true, and authorized information as outlined in subitems (1) to (6). Information required in subitems (1) to (6) that is not provided in a timely manner will not be used in calculating the hospital's rates for that rate year and the following year if rebasing does not occur.
B. If Medicare does not require a hospital to file a complete cost report, that hospital must, no later than February 1 preceding a rebased rate year, provide true, complete, and authorized Medicare cost report data under the cost finding methods and allowable costs in effect during the base year.
Subp. 2. Establishment of base years.
A. The base year for the 1993 rate year shall be each Minnesota and local trade area hospital's most recent Medicare cost reporting period ending prior to September 1, 1988. If that cost reporting period is less than 12 months, it must be supplemented by information from the prior cost reporting period so that the base year is 12 months except for hospitals that closed during the base year.
B. The base year data will be moved forward three years beginning with the 1995 rate year. The base year data will be moved forward every two years after 1995 or every one year if notice is provided at least six months prior to the rate year by the department. For long-term care hospitals that open after April 1, 1995, the base year is the year for which the hospital first filed a Medicare cost report as a long-term care hospital. That base year shall remain until it falls within the same period as other hospitals.
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695;
- History: 10 SR 227; 18 SR 1115; 26 SR 976
Minn. R. 9500.1110 Determination of Relative Values of the Diagnostic Categories
Subpart 1. Determination of relative values.
To determine the relative values of the diagnostic categories the department shall:
A. Select medical assistance claims for Minnesota and local trade area hospitals with admission dates from each hospital's base year.
B. Exclude the claims and charges in subitems (1) to (7):
C. Combine claims into the admission that generated the claim according to part 9500.1128, subpart 4.
D. Determine operating costs for each hospital admission in item C using each hospital's base year data according to subitems (1) to (5).
E. Assign each admission and operating cost identified in item D, subitem (5), to the appropriate program or specialty group and diagnostic category according to part 9500.1100, subparts 20a to 20e and 20g.
F. Determine the mean cost per admission within each program and the rehabilitation distinct part specialty group for the program and rehabilitation distinct part specialty group admissions identified in item E by dividing the sum of the operating costs by the total number of admissions.
G. Determine the mean cost per admission within each program and rehabilitation distinct part specialty group diagnostic category identified in item E by dividing the sum of the operating costs in each diagnostic category by the total number of admissions in each diagnostic category.
H. Determine the relative value for each diagnostic category by dividing item G by the corresponding result of item F within each program and the rehabilitation distinct part specialty group and round the quotient to five decimal places.
I. Determine the mean length of stay within each program and rehabilitation distinct part diagnostic category identified in item E by dividing the total number of inpatient service days in each diagnostic category by the total number of admissions in that diagnostic category and round the quotient to two decimal places.
J. Determine the day outlier trim point for each program and rehabilitation distinct part diagnostic category and round to whole days.
Subp. 2. Redetermination of relative values.
The department shall reassign the program and specialty group diagnostic category composition in part 9500.1100, subparts 20a to 20g, after notice of the change in the State Register and a 30-day comment period. The relative values in this part and adjusted base year operating costs in part 9500.1115 and 9500.1116 must be redetermined when changes are made to part 9500.1100, subparts 20a to 20g.
Subp. 3.
[Repealed, 18 SR 1115]
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695
- History: 10 SR 227; 11 SR 1688; 18 SR 1115; 26 SR 976
Minn. R. 9500.1115 Determination of Adjusted Base Year Operating Cost Per Admission and Per Day Outlier
Subpart 1. Adjusted base year operating cost per admission for Minnesota and local trade area hospitals.
The department will determine the adjusted base year operating cost per admission by program and the rehabilitation distinct part specialty group for each Minnesota and local trade area hospital according to items A to D.
A. Determine and classify the operating cost for each admission according to part 9500.1110, subpart 1, items A to E.
B. Determine the operating costs for day outliers for each admission in item A that is recognized in outlier payments. For each base year admission that is a day outlier, cut the operating cost of that admission at the trim point by multiplying the operating cost of that admission by the ratio of the admission's days of inpatient hospital services in excess of the trim point, divided by the admission's length of stay, and then multiply the cut operating cost by each hospital's elected outlier percentage or 70 percent if an election is not made. When neonate or burn diagnostic categories are used, the department shall substitute 90 percent for the 70 percent or elected percentage.
C. For each admission, subtract item B from item A, and for each hospital, add the results within each program and the rehabilitation distinct part specialty group, and divide this amount by the number of admissions within each program and the rehabilitation distinct part specialty group.
D. Adjust item C for case mix according to subitems (1) to (4).
Subp. 2. Adjusted base year operating cost per day outlier for Minnesota and local trade area hospitals.
The department will determine the adjusted base year operating cost per day outlier by program and the rehabilitation distinct part specialty group for each Minnesota and local trade area hospital according to items A and B.
A. To determine the allowable operating cost per day that is recognized in outlier payments, add the amounts calculated in subpart 1, item B and divide the total by the total number of days of inpatient hospital services in excess of the trim point.
B. Adjust item A for case mix according to subitems (1) to (4).
Subp. 3. Out-of-area hospitals.
The department will determine the adjusted base year operating cost per admission and per day outlier by program for out-of-area hospitals according to items A to C.
A. Multiply each adjusted base year operating cost per admission and per day outlier for each Minnesota and local trade area hospital determined in subparts 1 and 2 by the number of corresponding admissions or outlier days in that hospital's base year.
B. Add the products calculated in item A.
C. Divide the total from item B by the total admissions or outlier days for all the hospitals and round that amount to whole dollars.
Subp. 4. Minnesota metropolitan statistical area and local trade area hospitals that do not have five or more medical assistance admissions or five or more day outlier medical assistance admissions in the base year and low volume local trade area hospitals.
The department will determine the adjusted base year operating cost per admission or per day outlier by program according to items A to C.
A. Multiply each adjusted base year cost per admission and per day outlier for each Minnesota metropolitan statistical area and local trade area hospital determined in subparts 1 and 2 by the number of corresponding admissions or outlier days in that hospital's base year.
B. Add the products calculated in item A.
C. Divide the total from item B by the total admissions or outlier days for all Minnesota metropolitan statistical area and local trade area hospitals and round that amount to whole dollars.
Subp. 5. Nonmetropolitan statistical area hospitals that do not have five or more medical assistance admissions or five or more day outlier medical assistance admissions in the base year.
The department will determine the adjusted base year operating cost per admission or per day outlier by program for nonmetropolitan statistical area hospitals by substituting nonmetropolitan statistical area hospitals terms and data for the metropolitan statistical area hospitals terms and data under subpart 4.
Subp. 5a. Minnesota and local trade area hospitals that do not have five or more medical assistance rehabilitation distinct part specialty group admissions or five or more day outlier medical assistance rehabilitation distinct part specialty group admissions in the base year.
The department will determine the adjusted base year operating cost per admission or per day outlier for the rehabilitation distinct part specialty group for Minnesota and local trade area hospitals by substituting Minnesota and local trade area hospital terms and data for the metropolitan statistical area hospital terms and data under subpart 4.
Subp. 6. Limitation on separate payment.
Out-of-area hospitals that have a rate established under subpart 3 may not have certified registered nurse anesthetists services paid separately from parts 9500.1090 to 9500.1155.
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695
- History: 10 SR 227; 11 SR 1688; 18 SR 1115; 26 SR 976
Minn. R. 9500.1116 Determination of Adjusted Base Year Operating Cost Per Day
Subpart 1. Neonatal transfers.
A. For Minnesota and local trade area hospitals, the department will determine the neonatal transfer adjusted base year operating cost per day for Minnesota and local trade area admissions that result from a transfer to a neonatal intensive care unit specialty group according to subitems (1) to (6).
B. For Minnesota and local trade area hospitals that do not have five or more medical assistance neonatal transfer admissions to a neonatal intensive care unit specialty group in the base year, the department will determine the neonatal transfer adjusted base year operating cost per day for admissions that result from a transfer to a neonatal intensive care unit according to subitems (1) to (3).
Subp. 2. Long-term care hospital.
A. The department will determine the base year operating cost per day for a long-term care hospital for the rate year according to subitems (1) and (2).
B. For long-term care hospitals that do not have five or more medical assistance admissions in the base year, the department will determine a long-term care hospital operating cost per day according to subitems (1) to (3):
History
- Statutory Authority: MS s 256.9685; 256.9695
- History: 18 SR 1115; 26 SR 976
Minn. R. 9500.1120 Determination of Hospital Cost Index
Subpart 1. Adoption of hospital cost index.
The hospital cost index will be derived from Health Care Costs as published by Data Resources Incorporated (DRI), 1200 G Street NW, Washington, D.C. 20005. This report is published quarterly. The health care costs report is available through the Minitex interlibrary loan system and this report is incorporated by reference.
Subp. 2. Determination of hospital cost index.
For the period from the midpoint of each hospital's base year to the midpoint of the rate year, or, when the base year is not rebased, from the midpoint of the prior rate year to the midpoint of the current rate year, the department shall determine the hospital cost index according to items A and B.
A. The commissioner shall obtain from Data Resources, Inc., the average annual historical and projected cost change estimates in a decimal format for the operating costs by applying the change in the Consumer Price Index - All Items (United States city average) (CPI-U) in the third quarter of the prior rate year.
B. Add one to the amounts in item A and multiply these amounts together. Round the result to three decimal places.
Subp. 3.
[Repealed, 18 SR 1115]
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695
- History: 10 SR 227; 18 SR 1115; 26 SR 976
Minn. R. 9500.1121 Determination of Disproportionate Population Adjustment
Subpart 1. Eligibility for disproportionate population adjustment.
To be eligible for a disproportionate population adjustment, a Minnesota or local trade area hospital must meet the requirements of item B under general assistance medical care and item A and item C, D, or E under medical assistance.
A. The hospital, at the time that an admission occurs, must have at least two obstetricians with staff privileges who provide obstetric services to medical assistance patients. For nonmetropolitan statistical area hospitals, an obstetrician may be any physician with staff privileges at the hospital to perform nonemergency obstetrics procedures. This requirement does not apply to hospitals where the majority of admissions are predominately individuals under 18 years of age or hospitals that did not offer nonemergency obstetric services as of December 21, 1987.
B. The hospital has a base year days utilization rate of medical assistance inpatient days, including medical assistance inpatient days with another state but excluding general assistance medical care and Medicare crossovers, divided by total inpatient days that exceeds the arithmetic mean plus one standard deviation for Minnesota and local trade area hospitals. The difference is added to one and rounded to four decimal places.
C. The hospital has a base year days utilization rate of medical assistance inpatient days, including medical assistance inpatient days with another state but excluding general assistance medical care and Medicare crossovers, divided by total inpatient days that exceeds the arithmetic mean for Minnesota and local trade area hospitals. The difference is added to one and rounded to four decimal places.
D. The hospital has a base year days utilization rate of medical assistance inpatient days, including medical assistance inpatient days with another state but excluding general assistance medical care and Medicare crossovers, divided by total inpatient days that exceeds the arithmetic mean plus one standard deviation for Minnesota and local trade area hospitals. The difference is multiplied by 1.1 and added to one and rounded to four decimal places.
E. The hospital has a base year low-income utilization rate that exceeds 0.25. This rate is calculated by dividing medical assistance revenues, including medical assistance revenues with another state but excluding general assistance medical care, plus any cash subsidies received by the hospital directly from state and local government by total revenues plus the cash subsidies amount. This rate is added to the quotient of inpatient "charity care" charges minus the cash subsidies divided by total inpatient charges. The result is added to one and rounded to four decimal places. For purposes of this part, "charity care" is care provided to individuals who have no source of payment from third-party or personal resources.
Subp. 2. Days utilization rate used in cases where hospital qualifies under two rates.
If a hospital qualifies under both the days utilization rate at subpart 1, item C or D, and the low-income utilization rate at subpart 1, item E, the disproportionate population adjustment amount shall be the days utilization rate.
History
- Statutory Authority: MS s 256.9685; 256.9695
- History: 18 SR 1115; 26 SR 976
Minn. R. 9500.1122 Determination of Property Cost Per Admission
Subpart 1. Minnesota and local trade area hospitals.
The department will determine the property cost per admission for each Minnesota and local trade area hospital according to items A to D.
A. Determine the property cost for each admission in part 9500.1110, subpart 1, item C, using each hospital's base year data according to subitems (1) to (4).
B. Determine the property cost for each hospital admission in part 9500.1110, subpart 1, item C, using each hospital's base year data and recent year data from part 9500.1105, subpart 1, item A, subitem (4), according to subitems (1) to (4).
C. Determine the change in the property cost according to subitems (1) to (3).
D. Determine the property cost per admission by program and specialty group according to subitems (1) to (3).
Subp. 2. Out-of-area hospitals.
The department will determine the property cost per admission by program for out-of-area hospitals according to items A to C.
A. Multiply each property cost per admission for each Minnesota and local trade area hospital determined in subpart 1, item D, subitem (3), by the number of corresponding admissions in that hospital's base year.
B. Add the products in item A.
C. Divide the total from item B by the total admissions for all the hospitals and round the resulting amount to whole dollars.
Subp. 3. Minnesota metropolitan statistical area hospitals and local trade area hospitals that do not have five or more medical assistance admissions in the base year and low volume local trade area hospitals.
The department will determine the property cost per admission by program according to items A to C.
A. Multiply each property cost per admission for each Minnesota metropolitan statistical area hospital and local trade area hospital determined in subpart 1, item D, subitem (3), by the number of corresponding admissions in the hospital's base year.
B. Add the products in item A.
C. Divide the total from item B by the total admissions for all Minnesota metropolitan statistical area and local trade area hospitals and round the resulting amount to whole dollars.
Subp. 4. Nonmetropolitan statistical area hospitals that do not have five or more medical assistance admissions in the base year.
The department will determine the property cost per admission by program for nonmetropolitan statistical area hospitals that do not have five or more medical assistance admissions in the base year by substituting nonmetropolitan statistical area hospitals terms and data for the metropolitan statistical area hospitals terms and data under subpart 3.
Subp. 5. Minnesota and local trade area hospitals that do not have five or more medical assistance rehabilitation distinct part specialty group admissions in the base year.
The department will determine the property cost per admission for the rehabilitation distinct part specialty group for Minnesota and local trade area hospitals that do not have five or more medical assistance admissions in the base year substituting Minnesota and local trade area hospital terms and data for the metropolitan statistical area hospital terms and data under subpart 3.
History
- Statutory Authority: MS s 256.9685; 256.9695
- History: 18 SR 1115; 26 SR 976
Minn. R. 9500.1123 Determination of Hospital Payment Adjustment
Minnesota and local trade area hospitals that do not meet the disproportionate population adjustment payment requirements under part 9500.1121, subpart 1, item A, will receive a hospital payment adjustment according to the amount determined in part 9500.1121, subpart 1, item C, D, or E, subject to part 9500.1121, subpart 2. For purposes of this part, medical assistance does not include general assistance medical care.
History
- Statutory Authority: MS s 256.9685
- History: 26 SR 976
Minn. R. 9500.1124 Determination of Property Cost Per Day
Subpart 1. Neonatal transfers.
A. For Minnesota and local trade area hospitals, the department will determine the property cost per day for neonatal transfer admissions that result from a transfer to a neonatal intensive care unit specialty group according to part 9500.1122, subpart 1, item D, after substituting the term "day" for "admission."
B. For Minnesota and local trade area hospitals that do not have five or more medical assistance neonatal transfer admissions in the base year, the department will determine the neonatal transfer property cost per day for admissions in the base year according to part 9500.1122, subpart 3, after substituting the term "day" for "admission."
Subp. 2. Long-term care hospitals.
A. For long-term care hospitals, the department will determine the property cost per day according to subpart 1, item A, except that claims excluded in part 9500.1110, subpart 1, item B, subitems (2) and (4), will be included.
B. For long-term care hospitals that do not have five or more medical assistance long-term care hospital admissions in the base year, the department will determine a long-term care hospital property cost per day according to part 9500.1122, subpart 3, after substituting the term "day" for "admission."
History
- Statutory Authority: MS s 256.9685; 256.9695
- History: 18 SR 1115; 26 SR 976; 26 SR 1000
Minn. R. 9500.1125 [Repealed, 18 SR 1115]
[Repealed, 18 SR 1115]
Minn. R. 9500.1126 [Repealed, L 2014 c 291 art 10 s 14]
[Repealed, L 2014 c 291 art 10 s 14]
Minn. R. 9500.1127 Determination of Small Rural Payment Adjustment
Subpart 1. Eligibility for small rural payment adjustment of 20 percent.
A Minnesota hospital is eligible for a small rural payment adjustment of 20 percent increase to its payment rates, excluding Medicare crossovers, if it meets the requirements in items A to C. For purposes of this subpart, medical assistance does not include general assistance medical care.
A. The hospital had 100 or fewer medical assistance annualized paid admissions, excluding Medicare crossovers, that were paid by March 1, 1988, for the period January 1, 1987, to June 30, 1987.
B. The hospital had 100 or fewer licensed beds on March 1, 1988.
C. The hospital is not located in a city of the first class.
Subp. 2. Eligibility for small rural payment adjustment of 15 percent.
A Minnesota hospital is eligible for a small rural payment adjustment of 15 percent increase to its payment rates, excluding Medicare crossovers, if it meets the requirements in items A to B. For purposes of this subpart, medical assistance does not include general assistance medical care.
A. The hospital had more than 100 but fewer than 250 medical assistance annualized paid admissions, excluding Medicare crossovers, that were paid by March 1, 1988, for the period January 1, 1987, to June 30, 1987.
B. The hospital meets the requirements of subpart 1, items B and C.
Subp. 3. Limitation of small rural payment adjustment.
A Minnesota hospital eligible for the small rural payment adjustment under subpart 1 or 2 that is also eligible for the disproportionate population adjustment under part 9500.1121 or the hospital payment adjustment under part 9500.1123, is eligible for payments under those parts plus any amount by which the small rural payment adjustment exceeds the adjustments under those parts.
History
- Statutory Authority: MS s 256.9685
- History: 26 SR 976
Minn. R. 9500.1128 Determination of Payment Rates
Subpart 1. Notification.
Minnesota and local trade area hospitals will be provided a notice of rates and relative values that are to be effective for the rate year by the preceding December 1. The payment rates shall be based on the rates in effect on the date of admission except when the inpatient admission includes both the first day of the rate year and the preceding July 1. In this case, the adjusted base year operating cost on the admission date shall be increased each rate year by the rate year hospital cost index.
Subp. 2. Rate per admission.
A. Each admission is classified to the appropriate program or the rehabilitation distinct part specialty group and diagnostic category according to part 9500.1100, subparts 20a to 20g, and the rate per admission will be determined according to subitems (1) and (2):
B. The day outlier rate is in addition to the rate per admission and will be determined by program or the rehabilitation distinct part specialty group as follows:
C. Except for admissions subject to subpart 3, a transfer rate per day for both the hospital that transfers a patient and the hospital that admits the patient who is transferred will be determined as follows:
D. An admission classified to DRG's 386 to 390 whose length of stay is less than 50 percent of the arithmetic mean length of stay for the diagnostic category the admission is classified to under part 9500.1100, subparts 20a to 20g, and whose age at the time of admission is equal to or greater than one year, will be paid according to item C.
E. For an admission whose length of stay exceeds 365 days, the payment for the inpatient hospital services provided beyond 365 days will be the charges for those inpatient hospital services multiplied by the hospital's operating cost-to-charge ratio for all admissions determined under part 9500.1110, subpart 1, item D, subitem (4), and multiplied by the disproportionate population adjustment under part 9500.1121 or the hospital payment adjustment under part 9500.1123. This item is not applicable to rate per day payments under subpart 3.
F. For an admission that is classified to a diagnostic category that includes neonatal respiratory distress syndrome, the hospital must have a level II or level III nursery and the patient must receive treatment in that unit or payment will be made without regard to the respiratory distress syndrome condition.
G. A general assistance medical care admission classified to DRG's 424 to 432, 434, and 435 will be paid according to item C except that the per day rate will be multiplied by a factor of two.
Subp. 3. Rate per day.
A. Admissions resulting from a transfer to a neonatal intensive care unit specialty group and classified to a diagnostic category in part 9500.1100, subpart 20f, will have rates determined according to subpart 2, item A, after substituting the word "day" for "admission."
B. Admissions or transfers to a long-term care hospital will have rates determined according to subpart 2, item A, after substituting the word "day" for "admission," without regard to relative values.
Subp. 4. Readmissions.
An admission and readmission of the same patient to the same or a different hospital within 15 days, excluding the days of discharge and readmission, is eligible for payment according to the criteria in parts 9505.0501 to 9505.0545.
History
- Statutory Authority: MS s 256.9685; 256.9695
- History: 18 SR 1115; 26 SR 976
Minn. R. 9500.1129 Payment Limitations
Subpart 1. Charge limitation.
A. The department will limit payment, including third party and recipient liability, for services provided by an out-of-area hospital to allowable charges for the admission.
B. Payments, in addition to third party and recipient liability, for discharges occurring during a rate year may not exceed, in aggregate, the allowable charges for the same period of time to the hospital. This limitation will exclude payments made under part 9500.1121 and Medicare crossover claims. The limitation will be calculated separately for general assistance medical care and medical assistance and separately from other services for a rehabilitation distinct part.
Subp. 2. Transfers.
A discharging hospital is not eligible for a transfer payment for services provided to a discharged patient if the admission to the discharging hospital was not due to an emergency, as defined in part 9505.0505, subpart 12, and the discharging hospital knew or had reason to know at the time of admission that the inpatient hospital services were outside the scope of the hospital's available services and the transfer to another hospital resulted because of the patient's need for those services.
History
- Statutory Authority: MS s 256.9685; 256.9695
- History: 18 SR 1115; 26 SR 976
Minn. R. 9500.1130 Payment Procedures
Subpart 1. Submittal of claims.
Claims may not be submitted to the department until after a patient is discharged or 30 days after admission and every subsequent 30 days, whichever occurs first. A hospital that submits a claim to the department after 30 days from admission, but before discharge, shall submit a final claim after discharge.
Subp. 1a. Payor of last resort.
A hospital may not submit a claim to the department until a final determination of the patient's eligibility for potential third party payment has been made by a hospital. Any and all available third-party benefits must be exhausted prior to billing medical assistance and the third-party liability amounts must be entered on the claim.
Subp. 1b. Third-party liability.
Payment for patients that are simultaneously covered by medical assistance and a third party will be determined according to a hierarchy of application as set out in items A to E.
A. Medical assistance payment for a Medicare crossover will be determined by subtracting the third-party liability from the Medicare deductible and coinsurance due from the patient. A negative difference will not be implemented.
B. Medical assistance payment for a Medicare crossover whose Medicare benefits either exhaust or begin during an admission will be determined by subtracting the Medicare payment and third-party liability from the medical assistance rate. A negative difference will not be implemented.
C. Medical assistance payment will not be made for an admission when either charges are paid by a third party or the hospital has an agreement to accept payment for less than charges as payment in full.
D. Medical assistance payment for an admission under item C that requires a deductible or coinsurance will be made at a level equal to the deductible or coinsurance due from the patient.
E. Medical assistance payment for a patient with any third-party benefits will be determined as the lesser of the covered charges minus the third-party liability, or the medical assistance rate minus the third-party liability. A negative difference will not be implemented.
Subp. 1c. Reduction of recipient resources.
Recipient resources will also be reduced from the amounts in subpart 1b.
Subp. 2.
[Repealed, 18 SR 1115]
Subp. 3.
[Repealed, 18 SR 1115]
Subp. 4.
[Repealed, 18 SR 1115]
Subp. 5.
[Repealed, 18 SR 1115]
Subp. 6.
[Repealed, 18 SR 1115]
Subp. 7.
[Repealed, 18 SR 1115]
Subp. 8.
[Repealed, 18 SR 1115]
Subp. 9.
[Repealed, 18 SR 1115]
Subp. 10.
[Repealed, 18 SR 1115]
Subp. 11.
[Repealed, 18 SR 1115]
Subp. 12.
[Repealed, 18 SR 1115]
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695
- History: 10 SR 227; 10 SR 867; 11 SR 1688; 13 SR 1689; 18 SR 1115
Minn. R. 9500.1135 [Repealed, 18 SR 1115]
[Repealed, 18 SR 1115]
Minn. R. 9500.1140 Appeals
Subpart 1. Scope of appeals.
A hospital may appeal a decision arising from the application of standards or methods under Minnesota Statutes, section 256.9685, 256.9686, or 256.969, if an appeal would result in a change to the hospital's payment rate or payments. The appeals procedure in subparts 2 to 6 shall apply to all appeals filed on or after August 1, 1989.
Subp. 2. Filing of appeals.
An appeal must be received by the commissioner within the time period specified in subpart 3, 4, or 5. The appeal must include the information required in items A to D:
A. the disputed items;
B. the authority in federal or state statute or rule upon which the hospital relies for each disputed item;
C. the type of appeal in subpart 3, 4, or 5 that is applicable to each disputed item; and
D. the name and address of the person to contact regarding the appeal.
Subp. 3.
[Repealed, L 2017 1Sp6 art 4 s 67]
Subp. 4.
[Repealed, L 2017 1Sp6 art 4 s 67]
Subp. 5.
[Repealed, L 2017 1Sp6 art 4 s 67]
Subp. 6.
[Repealed, L 2017 1Sp6 art 4 s 67]
History
- Statutory Authority: MS s 256.9685; 256.969; 256.9695
- History: 10 SR 227; 18 SR 1115; 26 SR 976; L 2014 c 291 art 10 s 13; L 2017 1Sp6 art 4 s 67
Minn. R. 9500.1150 [Repealed, 26 SR 976]
[Repealed, 26 SR 976]
Minn. R. 9500.1155 [Repealed, 26 SR 976]
[Repealed, 26 SR 976]
Minn. R. 9500.1200 Purpose and Applicability
Subpart 1. Purpose.
Parts 9500.1200 to 9500.1270 establish the rights and responsibilities of the Department of Human Services, local agencies, and recipients of general assistance as they pertain to the administration of the general assistance program.
Subp. 2. Applicability.
Part 9500.1254 governs application for maintenance benefits from other sources, execution of an interim assistance agreement and reimbursement for interim assistance. When part 9500.1254 conflicts with parts 9500.1236 to 9500.1248, then part 9500.1254 prevails.
History
- Statutory Authority: MS s 14.388; 256D.04; 256D.051; 256D.05; 256D.06; 256D.09; 256D.101; 256D.10; 256D.111
- History: 10 SR 1715; 11 SR 134; 32 SR 1437
Minn. R. 9500.1202 Purpose of General Assistance Program
The purposes of the general assistance program are:
A. to provide financial assistance and services to persons unable to provide for themselves, who have not refused suitable employment, and who are not otherwise provided for by law; and
B. to aid those persons who can be helped to become self-supporting or to attain self-care.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 10 SR 1715; 15 SR 1842; 32 SR 1437
Minn. R. 9500.1204 [Repealed, 10 SR 2322]
[Repealed, 10 SR 2322]
Minn. R. 9500.1205 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1206 Program Definitions
Subpart 1. Scope.
As used in parts 9500.1200 to 9500.1261, the following terms have the meanings given them.
Subp. 1a. Actual availability.
"Actual availability," when used in reference to income or property, means that which is in hand or can be readily obtained for current use.
Subp. 2. Adult child.
"Adult child" means a person aged 18 years or older who resides with at least one parent.
Subp. 3. Advanced age.
"Advanced age" means the condition that applies to an applicant or recipient who is age 55 or older and whose work history shows a marked deterioration compared to the applicant's or recipient's work history before age 55 as indicated by decreasing occupational status, reduced hours of employment, or decreased periods of employment.
Subp. 4.
[Repealed, 32 SR 1437]
Subp. 4a. Affidavit.
"Affidavit" means a written declaration made under oath before a notary public or other authorized officer.
Subp. 4b. Appeal.
"Appeal" means a written statement from an applicant or recipient that requests a hearing or expresses dissatisfaction with a county agency decision that can be challenged under Minnesota Statutes, section 256.045 and part 9500.1211, subpart 4.
Subp. 5. Applicant.
"Applicant" means a person who has submitted an application for general assistance to a county agency and whose application has not been approved, denied, or voluntarily withdrawn.
Subp. 5a. Application.
"Application" means the action by which a person shows in writing a desire to receive assistance by submitting a signed and dated form prescribed by the commissioner to the county agency.
Subp. 6. Assistance standard.
"Assistance standard" means the amount established by the commissioner under Minnesota Statutes, section 256D.01, to provide for an assistance unit's basic subsistence needs.
Subp. 6a. Assistance unit.
"Assistance unit" means a person or group of persons who are applying for or receiving assistance and whose needs are included in the calculation of a general assistance payment.
Subp. 6b. Authorized representative.
"Authorized representative" means a person who is authorized in writing by an applicant or recipient to act on that applicant's or recipient's behalf in matters involving general assistance or emergency general assistance, including submitting applications, making appeals, and providing or requesting information. An authorized representative may exercise the same rights and responsibilities on behalf of the person being represented as an applicant or recipient.
Subp. 7.
[Repealed, 10 SR 2322]
Subp. 7a. Basic needs.
"Basic needs" means the minimum personal requirements of subsistence and are restricted to:
A. food;
B. clothing;
C. shelter;
D. utilities; and
E. other items of which the loss, or lack of, is determined by the county agency to pose a direct, immediate threat to the physical health or safety of the applicant or recipient.
Subp. 7b. Budget month.
"Budget month" means the calendar month from which a county agency uses the income or circumstances of an assistance unit to determine the amount of the assistance payment for the payment month.
Subp. 8. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or a designated representative.
Subp. 8a. Corrective payment.
"Corrective payment" means an assistance payment made to correct an underpayment.
Subp. 9. Costs or disbursements.
"Costs" or "disbursements" means a qualified provider's actual out-of-pocket expenses incurred for the provision of special services to an applicant or recipient.
Subp. 9a. Countable income.
"Countable income" means gross income minus allowable exclusions, deductions, and disregards.
Subp. 9b. County agency.
"County agency" has the meaning given in Minnesota Statutes, section 256D.02, subdivision 12.
Subp. 10.
[Repealed, 10 SR 2322]
Subp. 11. Department.
"Department" means the Department of Human Services.
Subp. 11a. Developmental disability.
"Developmental disability" means the condition of a person who has demonstrated deficits in adaptive behavior and intellectual functioning which is two or more standard deviations below the mean of a professionally recognized standardized test and the condition severely limits the person in obtaining, performing, or maintaining suitable employment.
Subp. 12. Director of the county agency.
"Director of the county agency" means the director of the county agency or the director's designated representative.
Subp. 12a. Diversionary work program or DWP.
"Diversionary work program" or "DWP" has the meaning given in Minnesota Statutes, section 256J.95.
Subp. 12b. Documentation.
"Documentation" means a written statement or record that substantiates or validates an assertion made by a person or an action taken by a county agency.
Subp. 12c. Earned income.
"Earned income" means compensation from lawful employment or lawful self-employment, including salaries, wages, tips, gratuities, commissions, earnings from self-employment, incentive payments from work or training programs, payments made by an employer for regularly accrued vacation or sick leave, earnings under title I of the Elementary and Secondary Education Act, employee bonuses and profit sharing, jury duty pay, picket duty pay, and profit from other lawful activities which accrues as a result of the individual's effort or labor. Earned income does not include returns from capital investment or benefits that accrue as compensation for lack of employment.
Subp. 12d. Earned income tax credit.
"Earned income tax credit" means the payment that can be obtained by a qualified low-income person from an employer or from the United States Internal Revenue Service under United States Code, title 26, section 32.
Subp. 12e. Emergency.
"Emergency" means a situation that causes or threatens to cause a lack of a basic need item when there are insufficient resources to provide for that need.
Subp. 12f. Encumbrance.
"Encumbrance" means a legal claim against real or personal property that is payable upon the sale of that property.
Subp. 12g.
[Repealed, 32 SR 1437]
Subp. 12g. Equity value.
"Equity value" means the amount of equity in real or personal property owned by a person. Equity value is determined by subtracting any outstanding encumbrances from the fair market value of the real or personal property.
Subp. 12h. Fair hearing or hearing.
"Fair hearing" or "hearing" means the department evidentiary hearing conducted by an appeals referee to resolve the issues specified in part 9500.1211, subpart 4.
Subp. 12i.
[Repealed, 32 SR 1437]
Subp. 12j.
[Repealed, 32 SR 1437]
Subp. 12k. Federal Insurance Contributions Act or FICA.
"Federal Insurance Contributions Act" or "FICA" means the federal law under United States Code, title 26, sections 3101 to 3126, that requires withholding or direct payment of income to the federal government.
Subp. 13.
[Repealed, 32 SR 1437]
Subp. 13a. Filing unit.
"Filing unit" means a person or persons who reside together and whose income and value of resources must be used to determine the eligibility and benefit level of an assistance unit. The filing unit must include:
A. the applicant;
B. the applicant's spouse;
C. the applicant's family; and
D. the natural or adoptive parents of a single adult applicant or recipient and the minor children of those parents.
Subp. 14. Full-time student.
"Full-time student" means a person who is enrolled in a graded or ungraded primary, intermediate, secondary, commissioner of education-selected high school equivalency preparatory, trade, technical, vocational, or postsecondary school, and who meets the school's standard for full-time attendance.
Subp. 14a. General assistance.
"General assistance" means the program authorized under Minnesota Statutes, sections 256D.01 to 256D.21 and parts 9500.1200 to 9500.1272.
Subp. 15. Good cause.
"Good cause" means a reason for taking an action or failing to take an action that is reasonable and justified when viewed in the context of surrounding circumstances including: illness of the person, illness of another family member that requires the applicant's or recipient's presence, a family emergency, the inability to obtain transportation or adequate child care, or a conflicting obligation which has been determined by the county agency to be reasonable or justified.
Subp. 15a. Gross income.
"Gross income" means the total amount of cash or in-kind payment or benefit, whether earned or unearned, before any withholdings, deductions, or disregards, paid to, or for the benefit of, a person, including income specified in Minnesota Statutes, section 256D.02, subdivision 8. Gross income does not include personal property previously established as a resource, subject to the limitations under part 9500.1221.
Subp. 15b. Gross receipts.
"Gross receipts" means the money received by a self-employed person before the expenses of self-employment are deducted.
Subp. 15c. Homestead.
"Homestead" means the house owned and occupied by a member of the filing unit as the member's dwelling place together with all contiguous land on which the house is situated and other appurtenant structures.
Subp. 15d. Household report form.
"Household report form" means a form prescribed by the commissioner on which a recipient reports information to a county agency about income and other circumstances.
Subp. 16.
[Repealed, 32 SR 1437]
Subp. 16a. In-kind income.
"In-kind income" means income, benefits, or payments that are provided in a form other than money or liquid assets, and which the applicant or recipient cannot legally require to be paid in cash to the applicant or recipient, including goods, produce, services, privileges, or third-party payments made on behalf of a person for whom the income is intended.
Subp. 17. Interim assistance.
"Interim assistance" means the total amount of general assistance and housing support provided for a recipient to cover the period for which a payment of another maintenance benefit is made. The amount of general assistance and GRH considered interim assistance is limited to the total amount the monthly payments for the assistance unit would have been reduced if the other maintenance benefits had been paid at the time of their accrual. The interim assistance period begins with the month of application for general assistance or GRH or the first month of eligibility for the other maintenance benefits, whichever is later.
Subp. 18. Interim assistance agreement.
"Interim assistance agreement" means the agreement in which the general assistance applicant or recipient agrees to reimburse the county agency for the amount of general assistance or housing support provided during the period when eligibility for another maintenance benefit program is being determined. The agreement must require reimbursement to the county agency only when the general assistance applicant or recipient is found eligible for another maintenance benefit program and the initial payment of those other maintenance benefits has been made.
Subp. 18a. Job Training Partnership Act.
"Job Training Partnership Act" means the Job Training Partnership Act authorized under Public Law 97-300 and its successor programs.
Subp. 18b. Legal custodian.
"Legal custodian" means a person who has been granted legal custody of a minor child by a court; or, if assistance is being requested for the minor child, a person who is defined as an eligible relative caretaker of the minor child under MFIP requirements in Minnesota Statutes, section 256J.08, subdivision 11.
Subp. 18c. Liquid assets or liquid resources.
"Liquid assets" or "liquid resources" means personal property in the form of cash or other financial instruments that are readily convertible to cash.
Subp. 18d. Liquidate.
"Liquidate" means to convert real or personal property into cash or other financial instruments that are readily convertible to cash. The conversion can be by sale or by borrowing using the nonliquid real or personal property as security for a loan.
Subp. 19.
[Repealed, 15 SR 1842]
Subp. 19a. Local labor market.
"Local labor market" means the geographic area in which a registrant can reasonably be expected to search for suitable employment. The geographic area must be limited to an area within two hours' round trip of the registrant's residence, exclusive of time needed to transport the registrant's children to and from child care.
Subp. 19b. Lump sum.
"Lump sum" means nonrecurring income that is not excluded in part 9500.1223.
Subp. 19c.
[Repealed, 32 SR 1437]
Subp. 20.
[Repealed, L 2005 c 159 art 5 s 12]
Subp. 20a.
[Repealed, 32 SR 1437]
Subp. 21. Mental illness.
"Mental illness" means the condition of a person who has a psychological disorder resulting in behavior that severely limits the person in obtaining, performing, or maintaining suitable employment.
Subp. 22.
[Renumbered subp 11a]
Subp. 22a. Minnesota family investment program or MFIP.
"Minnesota family investment program" or "MFIP" means the assistance program authorized in Minnesota Statutes, chapter 256J.
Subp. 22b. Minnesota supplemental aid or MSA.
"Minnesota supplemental aid" or "MSA" means the program established under Minnesota Statutes, sections 256D.33 to 256D.54.
Subp. 23. Minor child.
"Minor child" means a person who is under the age of 18; or if age 18, who is a member of a family assistance unit and who is enrolled as a full-time student in an accredited high school and who is expected to graduate by age 19.
Subp. 23a. Month.
"Month" means a calendar month.
Subp. 24. Negotiated rate.
"Negotiated rate" means the amount a county agency will pay on behalf of recipients living in a room and board, boarding care, supervised living, or adult foster care arrangement.
Subp. 24a. Nonrecurring income.
"Nonrecurring income" means a form of income that is:
A. received only one time or is not of a continuous nature; or
B. received in a prospective payment month but is no longer received in the corresponding retrospective payment month.
Subp. 24b. Occupational or vocational literacy program.
"Occupational or vocational literacy program" means a program providing literacy training which emphasizes specific language and reading skills needed to perform in employment, complete employment training programs, or complete work readiness programs.
Subp. 25. Other maintenance benefits.
"Other maintenance benefits" means any of the following:
A. workers' compensation benefits as provided by Minnesota Statutes, chapter 176 and rules adopted thereunder;
B. unemployment compensation benefits as provided by Minnesota Statutes, sections 268.07 to 268.23 and rules adopted thereunder;
C. railroad retirement benefits as provided by United States Code, title 45, sections 231 to 231s;
D. veteran's disability benefits as provided by United States Code, title 38, sections 301 to 363;
E. any benefits provided by the Social Security Administration under United States Code, title 42; or
F. other sources identified by the county agency that provide periodic payments that can be used to meet basic needs and that, if received, would reduce or eliminate the need for general assistance.
Subp. 25a. Overpayment.
"Overpayment" means that portion of an assistance payment which is greater than the amount for which an assistance unit is eligible, resulting from a calculation error, a client reporting error, a misapplication of existing program requirements by a county agency, or changes in payment eligibility that cannot be affected due to notification requirements.
Subp. 25b. Parent.
"Parent" means a child's biological or adoptive parent who is legally obligated to support that child.
Subp. 25c. Participation in a literacy program.
"Participation in a literacy program" means to receive instruction and complete assignments as part of a literacy program in accordance with the schedule or plan established by the literacy training program provider.
Subp. 25d. Payment month.
"Payment month" means the calendar month for which the county agency issues an assistance payment.
Subp. 25e. Permanent employment.
"Permanent employment" means suitable employment that is not, by description, of limited duration.
Subp. 25f. Personal property.
"Personal property" means an item of value that is not real property. Personal property includes, but is not limited to, the value of a contract for deed held by a seller, assets held in trust on behalf of members of an assistance unit, cash surrender value of life insurance, value of a prepaid burial, savings account, value of stocks and bonds, and value of retirement accounts less any costs and penalties for early withdrawal.
Subp. 26. Potentially eligible.
"Potentially eligible" means that the county agency has determined that the applicant or recipient shows circumstances which appear to meet the eligibility requirements of another maintenance benefit program.
Subp. 26a.
[Repealed, 32 SR 1437]
Subp. 26b. Probable fraud.
"Probable fraud" means the level of evidence that, if proven as fact, will establish that assistance has been wrongfully obtained.
Subp. 26c. Prospective budgeting.
"Prospective budgeting" means a method of determining the amount of assistance in which the budget month and payment month are the same.
Subp. 26d.
[Repealed, L 2005 c 159 art 5 s 12]
Subp. 27.
[Repealed, L 2005 c 159 art 5 s 12]
Subp. 28.
[Repealed, 10 SR 2322]
Subp. 28a. Real property.
"Real property" means the land itself and all buildings, structures, and improvements, or other fixtures on it, belonging or appertaining to the land, and all mines, minerals, fossils, and trees on or under it.
Subp. 28b. Reasonable compensation.
"Reasonable compensation" means the value received in exchange for property transferred to another owner which equals or exceeds the seller's equity in the property, reduced by costs incurred in the sale.
Subp. 28c. Recipient.
"Recipient" means an individual currently receiving, or suspended for one month from receiving, general assistance. Recipient includes any person whose needs are included in the payment to an assistance unit.
Subp. 28d. Redetermination of eligibility.
"Redetermination of eligibility" means the process by which information is collected periodically by a county agency and used to determine a recipient's continued eligibility for assistance.
Subp. 28e. Reside with.
"Reside with" means to share living quarters such as living rooms, bedrooms, or kitchens. Entrances, laundry rooms, and bathrooms are not considered living quarters.
Subp. 29. Responsible relative.
"Responsible relative" means the spouse of an applicant or recipient, the parent of an applicant's or recipient's minor child if residing together as a family, the parent of a minor child who is an applicant or recipient, or the parent of an adult child who resides with the parent and is an applicant or recipient.
Subp. 29a. Retrospective budgeting.
"Retrospective budgeting" means a method of determining the amount of assistance an assistance unit will receive in which the payment month is the second month after the budget month.
Subp. 29b. Social services.
"Social services" means the services included in a county's community social services plan which are administered by the county board.
Subp. 30. SSI or Supplementary Security Income.
"SSI" or "Supplementary Security Income" means the Supplemental Security Income program administered by the Social Security Administration under United States Code, title 42, sections 1381 to 1383c.
Subp. 31.
[Repealed, 15 SR 1842]
Subp. 32. Suitable employment.
"Suitable employment" means a job within the local labor market that:
A. meets existing health and safety standards set by federal, state, or local regulations;
B. is within the physical and mental ability of a person;
C. provides a gross weekly income equal to the federal or state minimum wage applicable to the job for 40 hours per week, or a monthly income which, after allowable exclusions, deductions, and disregards would exceed the standard of assistance for the assistance unit, whichever is less; and
D. includes employment offered through the Job Training Partnership Act, Minnesota Employment and Economic Development Act, and other employment and training options, but does not include temporary day labor.
Subp. 32a.
[Repealed, 32 SR 1437]
Subp. 32b. Underpayment.
"Underpayment" means an assistance payment, resulting from a calculation error, a client reporting error, or a misapplication of program requirements by a county agency, which is less than the amount for which an assistance unit is eligible.
Subp. 32c. Unearned income.
"Unearned income" means income received by a person which does not meet the definition of earned income. Unearned income includes interest, dividends, unemployment compensation, disability insurance payments, veterans benefits, pension payments, return on capital investments, insurance payments or settlements, and severance payments.
Subp. 32d. Vendor.
"Vendor" means a provider of goods or services.
Subp. 32e. Vendor payment.
"Vendor payment" means a payment made by a county agency directly to a vendor.
Subp. 32f. Verification.
"Verification" means the process a county agency must use to establish the accuracy or completeness of information from an applicant, recipient, third-party, or other source as that information relates to an assistance unit's eligibility for general assistance or the amount of a monthly assistance payment.
Subp. 33. Vocational specialist.
"Vocational specialist" means a counselor of the Department of Employment and Economic Development or Division of Vocational Rehabilitation, or another similarly qualified person who advises persons about occupational goals and employment.
History
- Statutory Authority: MS s 14.388; 256.05; 256D.01; 256D.04; 256D.051; 256D.052; 256D.05; 256D.06; 256D.08; 256D.09; 256D.101; 256D.10; 256D.111
- History: 9 SR 593; 10 SR 1715; 11 SR 134; 13 SR 1688; 13 SR 1735; 15 SR 1842; L 1994 c 483 s 1; L 2003 1Sp14 art 11 s 11; L 2005 c 56 s 2; L 2005 c 112 art 2 s 41; L 2005 c 159 art 5 s 12; L 2006 c 212 art 1 s 25; 32 SR 1437; L 2017 1Sp5 art 10 s 7
Minn. R. 9500.1208 [Repealed, 10 SR 2322]
[Repealed, 10 SR 2322]
Minn. R. 9500.1209 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1210 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1211 Applicant and Recipient Rights and County Agency Responsibilities to Applicants and Recipients
Subpart 1. Right to information.
An applicant or recipient has the right to obtain information about the benefits, requirements, and restrictions of the general assistance program.
Subp. 2. Right to apply.
A person has the right to apply, including the right to reapply, for general assistance. A county agency shall inform a person who inquires about financial assistance of the right to apply, shall explain how to apply, and shall mail or hand deliver an application form to the person inquiring about assistance. When a county agency ends assistance, the county agency shall inform the recipient in writing of the right to reapply.
Subp. 3. Authorized representative.
An applicant or recipient of general assistance may designate an authorized representative to act on the applicant's or recipient's behalf. An applicant or recipient has the right to be assisted or represented by an authorized representative in the application, eligibility redetermination, fair hearing process, and any other contact with the county agency or the department.
When a county agency determines that it is necessary for a person to assist an applicant or recipient, the county agency shall designate a staff member to assist the applicant or recipient. The county agency staff member may assist the applicant or recipient to take the actions necessary to submit an application to establish the date of the application.
Upon a request from an applicant or recipient, a county agency shall provide addresses and telephone numbers of organizations that provide legal services at no cost to low-income persons.
Subp. 4. Appeal rights.
An applicant, recipient, or former recipient has a right to request a fair hearing when aggrieved by an action or inaction of a county agency. A request for a fair hearing must be submitted in writing to the county agency or to the department. The request must be mailed within 30 days after the applicant or recipient receives written notice of the county agency's action or within 90 days when the applicant or recipient shows good cause for not submitting the request within 30 days. A former recipient who receives a notice of overpayment may appeal the action contained in the notice in the manner and within the periods described in this subpart. Issues which may be appealed are:
A. denial of the right to apply for assistance;
B. failure of a county agency to approve or deny an application within 30 days;
C. denial of an application for assistance;
D. suspension, reduction, or termination of assistance;
E. calculated amount of an overpayment and the calculated level of recoupment due to that overpayment;
F. eligibility for and calculation of a corrective payment;
G. other factors involved in the calculation of an assistance payment;
H. a change to protective, vendor, or two-party payments for recipients; and
I. the calculated amount retained by a county agency under an interim assistance authorization agreement from a retroactive benefit payment.
Subp. 5. Rights pending hearing.
Unless otherwise specified, a county agency shall not reduce, suspend, or terminate payment when an aggrieved recipient requests a fair hearing before the effective date of the action or within ten days of the mailing of the notice, whichever is later, unless the recipient requests in writing not to receive continued assistance pending a hearing decision. A county agency may increase or reduce an assistance payment while an appeal is pending when the circumstances of the recipient change and the change is not related to the issue under appeal. Assistance issued pending a fair hearing is subject to recovery when, as a result of the fair hearing, the commissioner finds that the recipient was not eligible for such assistance. This subpart shall in no way reduce any rights that the recipient may have under part 9500.1259, subpart 2.
A county agency shall reimburse appellants for reasonable and necessary expenses of attending the hearing, such as child care and transportation costs. A county agency shall reimburse appellant's witnesses and representatives for the expenses of transportation to and from the hearing.
Subp. 6. Right to review records.
A county agency shall allow an applicant or recipient to review his or her case records that are held by the county agency and that are related to eligibility for or the assistance payment from the program, except those case records to which access is denied under Minnesota Statutes, chapter 13. A county agency shall make case records available to an applicant or recipient as soon as possible but in no event later than the fifth business day following the date of the request. When an applicant, recipient, or authorized representative asks for photocopies of material from the case record, the county agency shall provide one copy of each page at no cost.
Subp. 7. Right to notice.
When a county agency notifies an applicant or recipient of its intention to deny an application or reduce, suspend, or terminate payment, the county agency shall specify in its notice the action it has taken or intends to take, the reason and legal authority for the action, and the right to appeal and request a fair hearing. The notice shall also inform the applicant or recipient of the conditions under which assistance will continue pending the appeal outcome, the responsibility to repay assistance if the appeal is unsuccessful, the right to be reimbursed for reasonable and necessary expenses of attending an appeal hearing, and the right to review county agency records in accordance with subpart 6.
History
- Statutory Authority: MS s 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842
Minn. R. 9500.1212 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1213 Application Requirements
Subpart 1. Application for general assistance, county of residence.
An applicant for general assistance must apply for general assistance in the applicant's county of residence. However, a county agency must not refuse to take an application from an individual who appears to reside in another county, but must promptly forward the completed application to the county of residence. The county of residence must use the date the application was filed in the county of application as the application date.
Subp. 2. County agency requirements.
A county agency must:
A. inform persons who inquire about cash assistance of general assistance eligibility requirements and how to apply for general assistance;
B. offer, by hand or mail, the application form prescribed by the commissioner when a person makes a written or oral inquiry;
C. inform the person that, if the person is found eligible, the county agency must use the date the application form is submitted to the county agency as the starting point for computing assistance, and that any delay in submitting an application form will reduce the amount of assistance paid for the month of application;
D. upon receipt of a signed and dated application from an applicant, the county agency must sign and date the application;
E. designate a staff member to assist the applicant to take the action necessary to submit an application if a county agency determines an applicant needs assistance in completing an application; and
F. inquire and determine at the time of initial application if the applicant has an emergency as defined in part 9500.1206, subpart 12e, and if so, determine the person's eligibility for emergency assistance under part 9500.1261.
Subp. 3. Date of application.
The date of application is the date the county agency signs and dates the application.
Subp. 4. Withdrawal of application.
An applicant may withdraw an application at any time by giving written or oral notice to the county agency. The county agency must issue a written notice confirming the withdrawal and inform the applicant of the agency's understanding that the applicant has withdrawn the application. If, within ten days of the date of the agency's notice, an applicant informs the county agency that the applicant does not wish to withdraw the application, the county agency must reinstate and finish processing the application.
Subp. 5. Agency verification of information on application.
The county agency shall verify information provided by an applicant as specified in part 9500.1215.
Subp. 6. Determination of filing unit.
When an application for general assistance is made and when the county agency redetermines the eligibility of a recipient, the county agency must determine the composition of the applicant's or recipient's filing unit. The county agency must determine the composition of a filing unit according to part 9500.1206, subpart 13a.
Subp. 7. Processing application.
Within 30 days after receiving an application, a county agency must determine the applicant's program eligibility, approve or deny the application, inform the applicant of its decision, and issue assistance when the applicant is eligible. When an applicant establishes the inability to provide required documentation within the 30-day processing period, the county agency shall have an additional 30 days to process the application and to allow the applicant to provide the documentation. If eligibility cannot be determined by the end of the second 30-day period, the application must be denied.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; 32 SR 1437
Minn. R. 9500.1214 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1215 Documenting, Verifying, and Reviewing Eligibility
Subpart 1. Information that must be verified.
A county agency shall require an applicant or recipient to provide documentation only of information necessary to determine program eligibility and the amount of the assistance payment. Information previously verified and retained by the county agency must not be verified again unless the information no longer applies to current circumstances.
Subp. 2. Sufficiency of documentation.
An applicant or recipient must provide documentation of the information required under subpart 4, or authorize a county agency to verify it by other means; however, the burden of providing documents for a county agency to use to verify eligibility is upon the applicant or recipient. A county agency shall help an applicant or recipient to obtain documents that the applicant or recipient does not possess and cannot obtain. When an applicant or recipient and the county agency are unable to obtain documents needed to verify information, the county agency may accept an affidavit from an applicant or recipient as sufficient documentation.
Subp. 3. Contacting third parties.
A county agency must obtain an applicant's or recipient's written consent to request information about the applicant or recipient which is not of public record from a source other than county agencies, the department, or the United States Department of Health and Human Services. An applicant's signature on an application form shall constitute this consent for contact with the sources specified on that form. A county agency may use a single consent form to contact a group of similar sources, such as banks or insurance agencies, but the sources to be contacted must be identified by the county agency before requesting an applicant's consent. A county agency shall not provide third parties with access to information about a person's eligibility status or any other part of the case record without that person's prior written consent, except where access to specific case information is granted to agencies designated by the Minnesota Government Data Practices Act under Minnesota Statutes, chapter 13. Information designated as confidential by the Minnesota Government Data Practices Act must only be made available to agencies granted access under that law and must not be provided to an applicant, recipient, or a third party.
Subp. 4. Factors to be verified.
The county agency must verify the factors of program eligibility in items A to C at the time of application, when a factor of eligibility changes, and at each redetermination of eligibility.
A. A county agency must verify:
B. The county agency must verify the information in subitems (1) to (6) when that information is acknowledged by an applicant or recipient or obtained through a federally mandated verification system:
C. A county agency may verify additional program eligibility and assistance payment factors when it determines that information on the application is inconsistent with statements made by the applicant, other information on the current application, information on previous applications, or other information received by the county agency. The county agency must document the reason for verifying the factor in the case record of an assistance unit. Additional factors that may be verified, subject to the conditions of this item, are:
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; 32 SR 1437
Minn. R. 9500.1216 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1217 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1218 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1219 Assistance Unit Eligibility
Subpart 1. Composition of an assistance unit.
The county agency must determine the composition of the assistance unit, as defined in part 9500.1206, subpart 6a, from eligible members of the filing unit. All members of the filing unit must be included in the assistance unit with the exception of and subject to subparts 2 to 6.
Subp. 2. Exclusion of persons otherwise provided for by law.
Filing unit members shall not be included in an assistance unit if they meet one or more of the following conditions:
A. a filing unit member is receiving benefits under the DWP, MFIP, refugee cash assistance, SSI, or Minnesota supplemental aid programs, or has benefits paid on the member's behalf for foster care, child welfare, or subsidized adoption;
B. a filing unit member appears to be currently eligible for benefits under DWP, MFIP, or refugee cash assistance, or is eligible to have benefits paid on the member's behalf for foster care, child welfare, or subsidized adoption;
C. a filing unit member has been determined to be eligible for DWP, MFIP, or SSI but cannot receive benefits under those programs because the member refused or failed to comply with a requirement of those programs;
D. a filing unit member is a parent of a single adult applicant or recipient who resides with a single adult applicant together with the parents' other family members;
E. a filing unit member who is in a period of disqualification from DWP, MFIP, SSI, or general assistance due to noncompliance with a program requirement;
F. a filing unit member has, without good cause, refused or failed to comply with part 9500.1254; or
G. a filing unit member has refused to sign an interim assistance agreement as required under Minnesota Statutes, section 256D.06, subdivision 5.
Subp. 3. State residence requirement.
No applicant shall be included in an assistance unit unless the applicant is a resident of Minnesota. A resident is a person living in the state with the intention of making a home here and, not for any temporary purpose, as determined by items A to E.
A. An applicant must state on a form prescribed by the commissioner that the applicant lives in the state and intends to make a home in Minnesota.
B. The county agency must verify an applicant's statement of intent to make a home in Minnesota if questionable. An applicant's statement of intent to make a home in Minnesota is questionable if:
C. An applicant's intent to make a home in Minnesota can be verified by:
D. In addition to meeting one of the requirements of item C, an applicant described by item B, subitem (2), must document that the applicant has severed the applicant's residence in another state. Documentation may include bank statements indicating the closing of accounts, a document showing cancellation or termination of a lease, or verification that real property used as the applicant's residence in another state is abandoned or for sale.
E. Notwithstanding the provisions of item C, any applicant specified in item B, subitems (2) to (4), who also indicates an intention to leave the state within 30 days of application, will be considered to be in the state for a temporary purpose and is not a resident.
Subp. 4. Minors.
No child under the age of 18 who is not a member of a family as defined in Minnesota Statutes, section 256D.02, subdivision 5, shall be included in an assistance unit unless:
A. the child is legally emancipated;
B. the child lives with an adult who is not a family member or legal custodian with the express written consent of an agency acting in its legal capacity as a custodian of the child;
C. the child lives with an adult who is not a family member or legal custodian with the express written consent of the child's parents or legal guardian, together with the express written consent of the county agency; or
D. the child does not live with an adult but is at least 16 years of age and whose living arrangement is approved in a social services case plan for the child and includes general assistance as a component of the plan.
Subp. 5.
[Repealed, 32 SR 1437]
Subp. 6.
[Repealed, 32 SR 1437]
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; L 2006 c 212 art 1 s 25; 32 SR 1437
Minn. R. 9500.1220 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1221 Property Limitations
Subpart 1. Determination of equity value of property available to assistance unit.
The county agency must determine the equity value of real and personal property available to the assistance unit. The equity value of real and personal property available to a member of the filing unit who is not included in the assistance unit, but who is a responsible relative of an assistance unit member, must be considered real and personal property available to the assistance unit.
A. When real or personal property is owned by two or more persons, the county agency shall assume that each person owns an equal share, except that either person owns the entire sum in a joint personal checking or savings account. When a person documents greater or lesser ownership, the county agency shall use that share to determine the equity value held by an applicant or recipient.
B. Real or personal property owned by an applicant or recipient is presumed legally available unless the applicant or recipient documents that the property is not legally available. When real or personal property is not legally available, its equity must not be applied against the limits in subpart 2.
C. An applicant must disclose whether the applicant transferred, within one year before the application or redetermination, real or personal property valued in excess of the property limits in subpart 2 for which reasonable compensation was not received. A recipient shall disclose all transfers of property valued in excess of the limits in subpart 2 according to the reporting requirements in part 9500.1245, subpart 5. When a transfer of real or personal property has occurred, the applicant or recipient shall comply with subitems (1) and (2) as a condition of eligibility for general assistance.
D. A recipient may build the equity value of the recipient's real and personal property to the limits in subpart 2.
Subp. 2. Equity value; excluded real and personal property.
The equity value of all nonexcluded real and personal property must not exceed $1,000. The county agency shall exclude the value of the real or personal property in items A to T when determining equity value.
A. The applicant's or recipient's homestead according to subitems (1) to (3).
B. One motor vehicle, not otherwise excluded, when its equity value does not exceed $1,500 exclusive of the value of special equipment for a household member with a disability. The county agency shall establish the equity value of a motor vehicle by subtracting any outstanding encumbrances from the loan value listed in the N.A.D.A. Official Used Car Guide, Midwest Edition, for newer model cars. When a vehicle is not listed in the N.A.D.A. Official Used Car Guide, or when an applicant or recipient disputes the value listed in the guide as unreasonable given the condition of a particular vehicle, the county agency may require the applicant or recipient to document the value of the vehicle by securing a written statement from a motor vehicle dealer licensed under Minnesota Statutes, section 168.27, stating the amount that the dealer would pay to purchase the vehicle. The N.A.D.A. Official Used Car Guide, Midwest Edition, is incorporated by reference. It is published monthly by the National Automobile Dealers Used Car Guide Company and is available through the Minitex interlibrary loan system. It is subject to frequent change.
C. The value of nonliquid real or personal property that is essential to the owner's self-support, self-care, or needed to obtain or retain suitable employment.
D. The value of nonliquid property which currently produces net earned income and is being used for the support of the assistance unit or a reasonable expectation exists that the property will be used within six months or the next income-producing season, whichever is later, to produce net earned income for the support of the assistance unit.
E. The value of real or personal property owned exclusively by the stepparent or sibling of a single adult applicant or recipient who resides with the stepparent or sibling.
F. The value of real and personal property owned exclusively by a recipient of supplemental security income or Minnesota supplemental aid.
G. The value of corrective payments but only for the month in which the payment is received and the following month.
H. Money escrowed in a separate account that is needed to pay real estate taxes or insurance and that is used for that purpose at least semiannually.
I. A mobile home used by an applicant or recipient as a home.
J. Money held in escrow by a self-employed person to cover employee FICA, employee tax withholding, sales tax withholding, employee workers' compensation, employee unemployment compensation, business insurance, property rental, property taxes, and other costs that are commonly paid at least annually, but less often than monthly.
K. Income received in a budget month until the end of that month. This includes monthly general assistance payments and emergency general assistance payments.
L. The value of school loans, grants, or scholarships over the period they are intended to cover if the income from these sources is either excluded by rule or has been used in the calculation of a grant.
M. The value of personal property not otherwise specified which is commonly used by household members in day-to-day living.
N. Payments listed in part 9500.1223, subpart 2, item O, which are held in escrow for the period necessary to replace or repair the personal or real property. This period must not exceed three months.
O. One burial plot per member of a filing unit.
P. The value of a prepaid burial account, burial plan, or burial trust up to $1,000 for each member of a filing unit who is covered by that account, plan, or trust.
Q. The value of an applicant's nonliquid resources if the applicant's need for assistance will not exceed 30 days.
R. The value of real and personal property in excess of the limits in this subpart if the applicant is making a good faith effort to sell the property at a reasonable price.
S. Other real or personal property specifically disregarded by federal law, state law, or federal regulation.
T. In addition to the limits specified in items A to S, an amount up to $1,000 which is accumulated in a separate account from earnings by a resident in a facility licensed under parts 9520.0500 to 9520.2500 or a resident in a supervised apartment with services funded under parts 9535.0100 to 9535.1600 for whom discharge and work are part of a treatment plan. This item applies during residency and for up to 18 additional months if the person moves to an inpatient hospital setting. The accumulated earnings, and the interest on the earnings, are to be used upon discharge from the facility. Any withdrawal before discharge must be counted as income in the month of withdrawal and treated as an available resource in the following months.
Subp. 3. Exclusion of excess property.
If the county agency determines that an assistance unit is not eligible for general assistance due to owning property in excess of the limit in subpart 2, the county agency must inform the applicant or recipient in writing of the conditions under which excess property may be excluded.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; L 2005 c 56 s 2; 32 SR 1437
Minn. R. 9500.1222 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1223 Excluded Income
Subpart 1. Evaluation of income.
The county agency must determine income available to members of an assistance unit to determine program eligibility and the assistance amount. Income available to members of an assistance unit includes all nonexcluded income whether received by assistance unit members or filing unit members who are not members of the assistance unit when that income is deemed available to members of the assistance unit.
Subp. 2. Excluded income of all filing unit members.
The county agency shall exclude items A to AA from the income of all filing unit members:
A. SNAP;
B. United States Department of Housing and Urban Development (HUD) refunds or rebates for excess rents charged and HUD relocation and rehabilitation funds;
C. rental security deposit refunds to the client whether paid by the client or by emergency assistance or emergency general assistance;
D. benefits under title IV and title VII of the Older Americans Act of 1965;
E. all Volunteers in Service to America (VISTA) payments;
F. title I loans or grants through the Minnesota Housing Finance Agency;
G. payments for basic care, difficulty of care, and clothing allowance received for providing family foster care under parts 9545.0010 to 9545.0260 or adult foster care under parts 9555.5105 to 9555.6265;
H. work and training allowances received from county agency social services programs that are not classified as wages subject to FICA withholding;
I. reimbursement for employment training received through the Job Training Partnership Act;
J. reimbursement for out-of-pocket expenses incurred while performing volunteer services, jury duty, or employment;
K. loans, whether from private, public, or governmental lending institutions, governmental agencies, and private individuals provided the filing unit member documents that the lender expects repayment. This exclusion does not include education loans on which payment is deferred;
L. state and federal income tax refunds including Minnesota property tax refunds and the earned income tax credit;
M. funds received for reimbursement, replacement, or rebate of personal or real property when these payments are made from public agencies, awarded by a court, solicited through public appeal, or made as a grant by a federal agency subsequent to a presidential declaration of disaster;
N. payments issued by insurance companies which are specifically designated as compensation to a member of an assistance unit for partial or total permanent loss of function or body part or insurance payments specified under Minnesota Statutes, section 256.74, subdivision 1, clause (7);
O. reimbursements for medical expenses which cannot be paid by medical assistance;
P. payments by the vocational rehabilitation program administered by the state under Minnesota Statutes, chapter 129A, except those payments that are for current living expenses;
Q. in kind income, as defined in part 9500.1206, subpart 16a, except for payments made for room, board, tuition, or fees by a parent on behalf of a single adult applicant who is enrolled as a full-time student in a postsecondary institution;
R. assistance payments to correct underpayments in a previous month;
S. payments to an applicant or recipient issued under part 9500.1261, 9500.2800, or 9500.2820 for emergency or special needs; however, an initial month's grant may be reduced by the amount of emergency assistance issued to cover that month's needs;
T. nonrecurring cash gifts, such as those received for holidays, birthdays, and graduations, not to exceed $30 per filing unit member in a calendar quarter;
U. tribal settlements excluded under Code of Federal Regulations, title 45, section 233.20(a)(4)(ii)(e), (k), and (m);
V. any form of energy assistance payment made by the Low Income Home Energy Assistance Program, payments made directly to energy providers by other public and private agencies, benefits issued by energy providers when the Minnesota Department of Employment and Economic Development determines that those payments qualify under Code of Federal Regulations, title 45, section 233.53, and any form of credit or rebate payment issued by energy providers;
W. the first $50 of child support received;
X. proceeds from the sale of real or personal property;
Y. payments made from state funds for subsidized adoptions under Minnesota Statutes, section 259.67;
Z. interest payments and dividends from property that is not excluded from and does not exceed the $1,000 limit under part 9500.1221, subpart 2; and
AA. income that is otherwise specifically excluded from MFIP consideration in federal law, state law, or federal regulation.
Subp. 3. Additional income exclusions, filing unit member who is not a member of assistance unit.
In addition to the income exclusions in subpart 2, the county agency shall exclude the following income of a filing unit member who is not a member of the assistance unit:
A. income that was excluded, disregarded, or allocated in the calculation of a public assistance grant unless the allocation was to meet the needs of persons in the general assistance unit;
B. benefits from the Retirement, Survivors, and Disability Insurance program and any income based on a disability that is received by the parent or parents of a single adult applicant or recipient;
C. income of a stepparent or of a sibling of a single adult applicant or recipient;
D. an amount equal to the standards assigned to filing unit members who are not in the general assistance unit in part 9500.1231, subpart 6, item A; and
E. child support, spousal support, or other payments to meet the needs of a person who lives outside of the household who is or could be claimed as a dependent for federal personal income tax liability or for whom payment is required by court order.
Subp. 4.
[Repealed, 32 SR 1437]
Subp. 5. Additional income exclusions, assistance unit consisting of individuals who are not members of a family.
In addition to the income exclusions in subpart 2, the county agency shall exclude the following costs from the income of filing unit members when the assistance unit consists of individuals who are not members of a family:
A. the first $50 of earned income for each individual who receives earned income;
B. the cost of transportation to and from employment which is not reimbursed, based on the lesser of the actual cost, or the amount allowed for the use of a personal car in the United States Internal Revenue Code for a maximum of 100 miles per day;
C. a meal allowance of $2 for each day that the individual has a break for a meal during work hours and eats a meal at work, unless the individual can establish that higher costs are both necessary and reasonable;
D. the cost incurred by an applicant or paid by a recipient for uniforms, tools, and equipment which are necessary to accept or retain a job;
E. mandatory payments or deductions from pay for insurance premiums, union dues, association dues, retirement contributions, FICA, state and federal personal income tax withholding, not to exceed the amount specified in the state or federal tax withholding tables for an individual with the same income and number of dependents as the applicant or recipient;
F. other work expenses required for employment and approved by the county agency;
G. stipends received from the displaced homemaker services program; and
H. in addition to the $50 specified in item A, up to $150 per month from the earnings of a resident of a facility licensed under parts 9520.0500 to 9520.0690 or a resident of a supervised apartment with services funded under parts 9535.0100 to 9535.1600 for whom discharge and work are part of a treatment plan, provided that the disregarded sum is placed in a separate savings account by the resident.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; L 1994 c 483 s 1; L 1994 c 631 s 31; L 2003 1Sp14 art 1 s 106; L 2005 c 112 art 2 s 41; L 2006 c 212 art 1 s 25; 32 SR 1437; L 2019 1Sp9 art 1 s 42
Minn. R. 9500.1224 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1225 Earned Income
Subpart 1. County agency duty to determine earned income.
The county agency must determine the total amount of earned income available to the filing unit. Earned income from self-employment must be calculated according to subpart 2. Earned income from contractual agreements must be calculated according to subpart 3. The total amount of earned income available to an individual for a month must be determined by combining the amounts of earned income calculated under subparts 2 to 4. The total amount of earned income available to an assistance unit for a month must be determined by combining the total earned income of each filing unit member.
Subp. 2. Earned income from self-employment.
The county agency must determine the amount of earned income from self-employment by subtracting business costs from gross receipts according to items A to D.
A. Self-employment expenses must be subtracted from gross receipts except for the expenses listed in subitems (1) to (14):
B. Except for farm income under item C, the self-employment budget period begins in the month of application for applicants and in the first month of self-employment for recipients. Gross receipts from self-employment must be budgeted in the month in which they are received. Expenses must be budgeted against gross receipts in the month in which those expenses are paid except for subitems (1) to (3):
C. Farm income must be annualized. Farm income is gross receipts minus operating expenses, subject to item A. Gross receipts include sales, rents, subsidies, soil conservation payments, production derived from livestock, and income from sale of home-produced foods.
D. Income from rental property must be considered self-employment earnings when the owner spends an average of 20 hours per week on maintenance or management of the property. A county agency must deduct an amount for upkeep and repairs, according to item A, subitem (11), for real estate taxes, insurance, utilities, and interest on principal payments. When an applicant or recipient lives on the rental property, the county agency must divide the expenses for upkeep, taxes, insurance, utilities, and interest by the number of rooms to determine the expense per room. The county agency shall deduct expenses from rental income only for the number of rooms rented, not for rooms occupied by an assistance unit. When an owner does not spend an average of 20 hours per week on maintenance or management of the property, income from rental property must be considered unearned income. The deductions described in this item must be subtracted from gross rental receipts.
Subp. 3. Earned income from contractual agreements.
The county agency must prorate the amount of earned income received by individuals employed on a contractual basis over the period covered by the contract even if the payments are received over a shorter period.
Subp. 4. Other earned income.
The county agency must consider all other forms of earned income not specifically provided for under subparts 2 and 3 to be earned income available to the individual in the month it is received.
History
- Statutory Authority: MS s 256D.01; 256D.03; 256D.04; 256D.05; 256D.051; 256D.06; 256D.07; 256D.08; 256D.09; 256D.111
- History: 10 SR 2322; 15 SR 1842
Minn. R. 9500.1226 Unearned Income
Subpart 1. County agency duty to determine unearned income.
The county agency must determine the total amount of unearned income available to the filing unit. The total amount of unearned income available to a filing unit for a month must be determined by combining the total unearned income of each filing unit member.
Subp. 2.
[Repealed, 15 SR 1842]
Subp. 3.
[Repealed, 15 SR 1842]
Subp. 4.
[Repealed, 15 SR 1842]
Subp. 5. Deductions for certain costs.
Costs incurred to secure payments of unearned income shall be deducted from unearned income. These costs include legal fees, medical fees, and mandatory deductions such as federal and state income taxes.
Subp. 6. Payments for disability or illness.
Payments for illness or disability must be considered unearned income whether the premium payments are made wholly or in part by an employer or a recipient.
Subp. 7. Education grants, scholarships, and loans.
Educational grants, scholarships, and loans, including assistance funded under title IV of the Higher Education Act, which are available to an assistance unit that does not contain a member of a family must be considered unearned income, together with the in-kind income derived from the payment of room and board and tuition and fees paid by the parents of the student. The county agency must subtract tuition and fees, in addition to books, supplies, transportation, and miscellaneous personal expenses as indicated by the school, from the total educational grants, loans, scholarships, and in-kind income. The deductions of these expenses are to be made at the time that the educational funds become available for the student's benefit, and any excess funds prorated over the remainder of the time they were intended to cover. School expenses that exceed loans, grants, and scholarships may be deducted from work study income.
Subp. 8. Nonexcluded filing unit member income.
Income from a filing unit member who is not a member of the assistance unit which is not excluded under part 9500.1223 is deemed unearned income available to the assistance unit.
Subp. 9. Lump sums received by filing unit.
Lump sums received by a filing unit must be considered as earned income under parts 9500.1223 and 9500.1225 or as unearned income under subparts 5 to 8. For recipients of general assistance, lump sums are considered income in the month received and a resource in the following months.
History
- Statutory Authority: MS s 256D.01; 256D.03; 256D.04; 256D.05; 256D.051; 256D.06; 256D.07; 256D.08; 256D.09; 256D.111
- History: 10 SR 2322; 15 SR 1842
Minn. R. 9500.1227 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1228 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1229 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1230 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1231 Assistance Standards
Subpart 1. Standard, single individual.
Except as provided in subpart 2, the standard of assistance for a single adult who does not reside with his or her parents; an adult applicant or recipient who resides with his or her parents and those parents have no minor children; or an emancipated minor applicant or recipient is $203 per month. The standard in this subpart shall be increased by the same percentage as any increase in subpart 4.
Subp. 2. Standard, individuals residing in a nursing home, negotiated rate facility, or regional treatment center.
The standard of assistance for an assistance unit composed of one individual who resides in a nursing home, negotiated rate facility, or regional treatment center is the amount established as the clothing and personal needs allowance for medical assistance recipients under Minnesota Statutes, section 256B.35, subdivision 1.
Subp. 3. Standard, married couples without children.
The standards of assistance for a married couple without children are the same as the first and second adult standards under subpart 4. If one member of the couple is not included in the general assistance grant, the standard for the other is the second adult standard under subpart 4.
Subp. 4. Standards, filing units with a minor child.
The county agency shall use the standards in items A to M to determine the amount of assistance for a filing unit with a minor child or children. The standard of assistance shall increase or decrease to remain equal to the equivalent MFIP standards under part 9500.2440, subpart 6:
A. first adult, $187;
B. second adult, $73;
C. first child, $250;
D. second child, $95;
E. third child, $89;
F. fourth child, $76;
G. fifth child, $76;
H. sixth child, $77;
I. seventh child, $66;
J. eighth child, $64;
K. ninth child, $55;
L. tenth child, $54; and
M. each additional child, $53.
Subp. 5. Standard, single adult residing with parents with minor children.
A single adult applicant or recipient who resides with his or her parents who have minor children will receive a child standard from subpart 4 as though the single adult were an additional minor child added to an assistance unit composed of the parent and minor child or children.
Subp. 6. Standard, assistance unit composed of part or all members of a family.
The county agency shall determine the assistance standard for a family assistance unit as follows:
A. The county agency shall assign standards from subpart 4 to each member of the filing unit as though each was a member of an MFIP assistance unit composed of the entire filing unit. If a member or members of a family are not to be included in the assistance unit, the county agency shall assign standards from subpart 4 to those members first and to the remaining members of the assistance unit last. Each adult in the filing unit except the first will receive a second adult standard. A minor parent family member shall be treated as provided in subitem (1) or (2).
B. The county agency shall add together the standards assigned to the members of the general assistance unit in item A. That total is the standard for the assistance unit. In no case shall the standard for family members who are in the assistance unit for general assistance, when combined with the standard for family members who are not in the assistance unit, total more than the standard for the entire family if all members were in an MFIP assistance unit.
Subp. 7. Standard applies to full month.
Except when an increase must be made in the standard of assistance applicable to an assistance unit due to the addition of a member to the assistance unit or when a recipient enters the community from a negotiated rate facility, the standard of assistance applicable to an assistance unit the first day of a payment month or at the time of application, whichever is later, applies to the assistance unit for the entire month. When a decrease must be made in the standard of assistance for an assistance unit, the decrease shall be effective in the month following the month in which the change necessitating the reduction in the standard took place.
History
- Statutory Authority: MS s 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; L 2006 c 212 art 1 s 25
Minn. R. 9500.1232 State Participation
Subpart 1.
[Repealed, 15 SR 1842]
Subp. 2.
[Repealed, 15 SR 1842]
Subp. 3.
[Repealed, 15 SR 1842]
Subp. 4. State participation for payment in excess of state standards.
State participation is not available for special need items or the amount of the higher county agency standard authorized under Minnesota Statutes, section 256D.03, subdivision 2a, which exceed the applicable state assistance standards.
Subp. 5.
[Repealed, 32 SR 1437]
History
- Statutory Authority: MS s 256.05; 256D.01; 256D.03; 256D.04; 256D.05; 256D.051; 256D.052; 256D.06; 256D.07; 256D.08; 256D.09; 256D.111
- History: 10 SR 2322; 13 SR 1688; 13 SR 1735; 15 SR 1842; 32 SR 1437
Minn. R. 9500.1233 Financial Eligibility Tests
Subpart 1. Prospective eligibility.
A county agency shall determine whether the eligibility requirements that pertain to an assistance unit will be met prospectively for the payment month. To prospectively assess income, a county agency shall estimate the amount of income an assistance unit expects to receive in the payment month.
Subp. 2. Termination and suspension of assistance when prospectively ineligible.
When an assistance unit is prospectively ineligible for general assistance for at least two consecutive months due to excess income, assistance must be terminated. When an assistance unit is prospectively ineligible for general assistance for only one month and is prospectively eligible the following month, assistance must continue. The income for the single month in which prospective ineligibility exists must be applied retrospectively as described in subpart 3, resulting in suspension for the corresponding payment month.
Subp. 3. Retrospective eligibility.
After the first two months of program eligibility, a county agency must determine whether an assistance unit is prospectively eligible for the payment month. The county agency must then determine whether the assistance unit is retrospectively eligible by applying the gross income test for family assistance and the payment eligibility test to the income from the budget month. When either the gross income test for family assistance units or the payment eligibility test is not satisfied, assistance must be suspended when ineligibility exists for one month, or terminated when ineligibility exists for more than one month.
Subp. 4.
[Repealed, 32 SR 1437]
Subp. 5. Payment eligibility test.
Each assistance unit must pass a test of payment eligibility prospectively and retrospectively for each program month that the unit is otherwise eligible.
A. Assistance units which do not contain a member of a family must use the income determined in parts 9500.1223 to 9500.1226 to determine payment eligibility.
B. The county agency must apply the assistance unit's countable income against the assistance unit's standard. If the income is equal to or greater than the standard, the assistance unit must be denied assistance or assistance must be terminated.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; 32 SR 1437
Minn. R. 9500.1234 [Repealed, 10 SR 2322]
[Repealed, 10 SR 2322]
Minn. R. 9500.1235 [Repealed, 32 SR 1437]
[Repealed, 32 SR 1437]
Minn. R. 9500.1236 [Repealed, 10 SR 2322]
[Repealed, 10 SR 2322]
Minn. R. 9500.1237 Amount of Assistance Payment
Subpart 1. Amount of assistance payment.
The county agency must issue an assistance payment to an assistance unit in an amount equal to the difference between the standard of assistance determined in part 9500.1231 and the assistance unit's countable income as determined in parts 9500.1223 to 9500.1226, for a whole month without separate standards for shelter, utilities, or other needs, except as provided under subparts 2 to 6.
Subp. 2. Prorate the month of application.
When program eligibility exists for the month of application, the amount of the assistance payment for the month of application must be prorated from the date of application or the date all eligibility factors are met for that applicant, whichever is later. This provision must apply when an applicant loses at least one day of program eligibility.
Subp. 3.
[Repealed, 32 SR 1437]
Subp. 4. Persons without a verified residence address.
A county agency may make payments to eligible persons without a verified address as specified in items A to G.
A. A county agency which chooses to make payments under this subpart must notify the department of its intention to do so 30 days before implementation.
B. A county agency must apply this subpart equally to all applicants or recipients who are without a verified residence, except that this subpart must not be applied to persons who are certified as having mental illness, developmental disability, or a family assistance unit unless requested in writing by the family assistance unit.
C. A county agency may divide the monthly assistance grant into four payments to be issued weekly for four weeks each month.
D. A county agency may determine eligibility and provide assistance on a weekly basis as specified in subitems (1) to (5).
E. Assistance provided under items C and D may be in the form of cash or separate vouchers or vendor payments for food, shelter, or other needs.
F. Except for weekly redetermination for assistance under item D, notices must be provided to recipients under this subpart as specified by part 9500.1259, subpart 4.
G. Assistance must not continue under this subpart when the recipient has verified a residence address as specified in part 9500.1219, subpart 3, item C.
Subp. 5.
[Repealed, 32 SR 1437]
Subp. 6. Assistance payment when need will not exceed 30 days.
The county agency shall issue a grant determined by subtracting any countable income that the applicant has received since the first of the calendar month of application and any countable income the applicant is expected to receive before the date on which the county agency has anticipated that the applicant will lose eligibility for general assistance, from his or her prorated standard of assistance. The prorated standard of assistance must be determined by comparing the number of days between the date of application or the date all eligibility factors have been met, whichever is later, and the date which the county agency has anticipated that the applicant will lose eligibility for general assistance, with a 30-day month.
Subp. 7.
[Repealed, 32 SR 1437]
Subp. 8.
[Repealed, 32 SR 1437]
Subp. 9.
[Repealed, 32 SR 1437]
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; L 2005 c 56 s 2; L 2006 c 212 art 1 s 25; 32 SR 1437
Minn. R. 9500.1238 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1239 Payment Provisions
Subpart 1. Grant issuance.
Grants of general assistance shall be issued to the recipient according to subparts 2 and 3.
Subp. 2. Time period for issuance of assistance.
The state or county agency shall mail assistance payments to the address where the assistance unit lives, or an alternate address when approved by the county agency, within time to allow postal service delivery to occur no later than the first day of each month unless:
A. the county agency has exercised its option to issue assistance weekly under part 9500.1237, subpart 4, item C or D, in which case the county agency must provide the recipient with a schedule by which the recipient is to visit the agency to pick up the payments or notices; and
B. the state or county agency issues payments by means other than checks, in which case the payments must conform to the time limits in this subpart.
Subp. 3. Special voucher or vendor payment provisions.
Assistance must be paid directly to a recipient, except as provided in items A to F.
A. When a county agency has determined that a voucher or vendor payment is the most effective way to resolve an emergency situation under part 9500.1261, payment shall be made by voucher or directly to a vendor.
B. When the county agency has reason to suspect that a client is drug dependent, payment shall be made as provided under part 9500.1272.
C. When the applicant or recipient has no verified residence address, payment shall be made as provided under part 9500.1237, subpart 4, item C, D, or E.
D. When the applicant or recipient requests in writing that all or part of the assistance be issued in the form of vendor payments and the county agency approves the request, payment shall be made by vendor payment.
E. When an assistance unit consists of only minor children due to the disqualification of one or both parents who have not complied with the work readiness program, payment shall be made by vendor or protective payment.
F. When a county agency has determined that a recipient has exhibited a continuing pattern of money mismanagement, payment shall be made by vendor or protective payment. A continuing pattern of money mismanagement exists when a recipient has received a total of two or more grants of emergency assistance within an 18-month period. For the purposes of this provision, grants of emergency assistance are payments made under part 9500.1261 or 9500.2820 or emergency payments from county funds. In order to be counted for this provision, the emergencies for which grants were issued must have resulted from the recipient's failure to use available resources for the payment of basic need items. The county agency must review the use of protective or vendor payments under this item at each redetermination of eligibility.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; 32 SR 1437
Minn. R. 9500.1240 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1242 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1243 Budgeting
Subpart 1. Prospective budgeting.
A county agency shall use prospective budgeting to calculate the assistance payment amount for the first two months for an applicant who has not received general assistance for at least one payment month preceding the first month of payment under a current application, subject to items A to E.
A. Income received or anticipated in the first month of program eligibility must be applied against the need of the first month. Income received or anticipated in the second month must be applied against the need of the second month.
B. When the assistance payment for any part of the first two months is based on anticipated income, an initial assistance payment amount must be determined based on information available at the time the initial assistance payment is made. When the amount of actual countable income is different than the anticipated countable income which was budgeted to determine the assistance payment for the first two months, the assistance unit is liable for an overpayment or is eligible for a corrective payment for the difference between anticipated and actual countable income for those two months.
C. The assistance payment for the first two months of program eligibility must be determined by budgeting both recurring and nonrecurring income for those two months.
D. An assistance unit shall have the assistance payment amount determined prospectively according to items A to C if the assistance unit:
E. An individual who enters a facility with a negotiated rate or a shelter facility described in Minnesota Statutes, section 256D.05, subdivision 3, shall have an assistance payment determined prospectively from the date the individual entered the facility. Any income, including grants of public assistance, received by the individual before entering the facility must only be applied against the assistance unit's standard specified under part 9500.1231, subpart 2. Any assistance payments made to the individual beginning two months after the month the individual leaves the facility must be determined retrospectively according to subpart 2.
Subp. 2. Retrospective budgeting.
Retrospective budgeting must be used to calculate the monthly assistance payment amount after the payment for the first two months has been made under subpart 1. Retrospective budgeting is subject to items A and B.
A. Retrospective budgeting is used to determine the amount of the assistance payment in the first two months of program eligibility when:
B. Income received in the budget month by an assistance unit and by a filing unit member who is not included in the assistance unit must be applied against the standard of assistance to determine the assistance payment to be issued for the payment month, except as provided in subitems (1) to (4).
Subp. 3.
[Repealed, L 2011 1Sp9 art 9 s 19]
Subp. 4. Correction of underpayments.
A county agency must correct an underpayment within seven calendar days after the underpayment has been identified, by adding the corrective payment amount to the monthly assistance payment or by issuing a separate payment to a current recipient. When an underpayment occurs in a payment month specified in subpart 1, and is not identified until the next payment month or later, that underpayment must first be subtracted from any overpayment balance before issuing the corrective payment. An underpayment for a current payment month must not be applied against an overpayment balance and payment must be issued within seven calendar days after the underpayment is identified.
Subp. 5. Prohibition against use of general assistance grant to recover overpayment from other maintenance programs.
Subpart 4 applies only to overpayments or underpayments of assistance from the general assistance program. A county agency may not recover an overpayment by another maintenance benefit program from a general assistance grant.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; 32 SR 1437; L 2011 1Sp9 art 9 s 19
Minn. R. 9500.1244 [Repealed, 10 SR 2322]
[Repealed, 10 SR 2322]
Minn. R. 9500.1245 Applicant and Recipient Responsibilities
Subpart 1. Applicant reporting requirements.
An applicant shall provide information about circumstances that affect the applicant's program eligibility or the assistance payment. The applicant shall provide the information on an application form and supplemental forms. An applicant shall report any changes in those circumstances under subpart 5 while the application is pending.
Subp. 2. Responsibility to inquire.
An applicant or recipient who does not know or who is unsure whether a change in circumstances will affect program eligibility or assistance payments shall contact the county agency for information about whether or not to report the change.
Subp. 3. Household report forms.
An assistance unit with a member who has earned income or a recent work history, and an assistance unit that has income allocated to it from a filing unit member who has earned income or a recent work history, shall complete a monthly household report form. "Recent work history" means the individual received earned income in any one of the three calendar months preceding the current payment month. To be complete, a household report form must be signed and dated no earlier than the last day of the reporting period. All questions required to determine assistance payment eligibility must be answered and documentation of earned income must be included. A recipient shall submit the household report form by the eighth calendar day of the month following the reporting period covered by the form, or, if the eighth calendar day of the month falls on a weekend or holiday, by the first working day that follows the eighth calendar day. Delays in submitting the completed household report form may delay an assistance payment in the month following the month in which the form is due.
Subp. 4. Late household report forms.
When a household report form is late or incomplete, items A, B, or C apply.
A. When a complete household report form is not received by a county agency before the last ten days of the month in which the form is due, the county agency shall send notice of proposed termination of assistance. When a recipient submits an incomplete form on or after the date the notice of proposed termination has been sent, the termination is valid unless the recipient submits a complete form before the end of the month.
B. When a recipient submits an incomplete household report form before the last ten days of the month in which it is due, a county agency's ten-day notice of termination of assistance for failure to provide a complete household report form is invalid unless the county agency has returned the incomplete form on or before the ten-day notice deadline.
C. If a complete household report form is received by the county agency within a calendar month after the month in which assistance was received, an assistance unit required to submit a household report form is considered to have continued its application for assistance effective the date the required report is received by the county agency. However, no assistance shall be paid for the period beginning with the first day of the month after the month in which the report was due and ending with the date the report was received by the county agency.
Subp. 5. Changes which must be reported.
Recipients shall report the changes or anticipated changes specified in items A to J within ten days after the date they occur, within ten days after the date the recipient learns that the change will occur, at the time of the periodic redetermination under subpart 6, or within eight calendar days after a reporting period as in subpart 3, whichever occurs first. A recipient shall report other changes at the time of the periodic redetermination of eligibility under subpart 6 or at the end of a reporting period under subpart 3 as applicable. A recipient shall make these reports in writing or in person to the county agency. Changes in circumstances which must be reported within ten days must also be reported on the household report form for the reporting period in which those changes occurred. Within ten days, a recipient must report changes in:
A. initial employment;
B. the initial receipt of unearned income;
C. a recurring change of more than $50 per month of net earned or unearned income;
D. the receipt of a lump sum;
E. an increase in resources;
F. the marriage or divorce of an assistance unit member;
G. a change in the household composition including departures from and returns to the home of filing unit members, or the birth or death of a member of the filing unit;
H. a change in the address or living quarters of an assistance unit;
I. the sale, purchase, or other transfer of property; and
J. a change in school attendance of a child over 15 years of age or an adult member of an assistance unit.
Subp. 6. Redetermination of eligibility.
Except as provided in items A to C, a county agency must redetermine eligibility of a recipient once each year. A recipient must complete forms prescribed by the commissioner and required for redetermination of eligibility.
A. A county agency that has opted to provide assistance on a weekly basis to persons without a verified residence address may redetermine eligibility each week. In redetermining eligibility, the county agency must use the form in part 9500.1237, subpart 4, item D, subitem (2). The form must include a claim of need by the recipient.
B. A county agency must redetermine eligibility when a recipient who has been disqualified from receiving cash assistance due to noncompliance with a program provision requests assistance after the expiration of the disqualification period.
C. A county agency may redetermine the eligibility of a recipient when a change that affects program eligibility is reported to the county agency.
Subp. 7. Other maintenance benefits.
An applicant or recipient must apply, according to part 9500.1254, for other maintenance benefits that the county agency has determined the applicant or recipient is potentially eligible for. An applicant or recipient who fails or refuses to take the actions specified by the county agency according to part 9500.1254 must be terminated from general assistance and remains ineligible for assistance until the applicant or recipient takes the actions specified by the county agency under this subpart.
Subp. 8.
[Repealed, 32 SR 1437]
Subp. 9.
[Repealed, 32 SR 1437]
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; 32 SR 1437
Minn. R. 9500.1246 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1248 Determination of County of Financial Responsibility
Subpart 1.
[Repealed, 15 SR 1842]
Subp. 2.
[Repealed, 15 SR 1842]
Subp. 3. Determination of county of financial responsibility.
The county of financial responsibility shall be determined according to Minnesota Statutes, chapter 256G.
History
- Statutory Authority: MS s 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 10 SR 1715; 15 SR 1842
Minn. R. 9500.1249 [Repealed, 10 SR 2322]
[Repealed, 10 SR 2322]
Minn. R. 9500.1250 Local Agency Reports
The county agencies shall collect and report information necessary to administer, monitor, and evaluate the general assistance program, including work requirements.
History
- Statutory Authority: MS s 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 10 SR 1715; 15 SR 1842
Minn. R. 9500.1251 [Repealed, 32 SR 1437]
[Repealed, 32 SR 1437]
Minn. R. 9500.1252 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1254 Referral to Other Maintenance Benefit Programs
Subpart 1. Screening requirement.
The county agency must determine the potential eligibility of each general assistance applicant or recipient for other maintenance benefits as follows:
A. The county agency must determine an applicant's potential eligibility for other maintenance benefits when application for general assistance is made.
B. The county agency must determine a recipient's potential eligibility for other maintenance benefits at the recipient's semiannual redetermination of eligibility for general assistance. The county agency must also determine a recipient's potential eligibility for other maintenance benefits whenever it determines that changes in the recipient's circumstances, including eligibility for medical assistance, indicate potential eligibility for other maintenance benefits.
C. If the county agency determines that the applicant or recipient is potentially eligible for other maintenance benefits, the county agency must document its determination on forms prescribed by the commissioner and must retain the forms in the county agency case record for the applicant or recipient.
Subp. 2. Informing and referral requirement.
When the county agency determines that the applicant or recipient is potentially eligible for other maintenance benefits, the county agency shall refer the applicant or recipient to the other maintenance benefit program on a form prescribed by the commissioner by informing the applicant or recipient orally and in writing of the following:
A. that the applicant or recipient must apply for the other maintenance benefit program, according to subpart 4, item A;
B. that the applicant or recipient must execute an interim assistance agreement, according to subpart 4, item D;
C. that the applicant or recipient must comply with all procedures necessary to determine eligibility or ineligibility for the other maintenance benefits according to subpart 4, item C;
D. that the applicant or recipient must authorize the county agency and the qualified provider, when one is chosen, to exchange relevant data concerning the applicant's or recipient's eligibility with the other maintenance benefit program office, according to subpart 4, item B;
E. the estimated amount of benefits the applicant or recipient may be eligible to receive under the other maintenance benefit program, if known;
F. the address at which the applicant or recipient shall apply for the other maintenance benefit program;
G. general instructions regarding how to apply for the other maintenance benefit program;
H. that the applicant or recipient may elect to receive special services to assist in applying for SSI benefits;
I. notice of the actions which the county agency must take, according to subpart 5, if the applicant or recipient fails to comply with the requirements under subpart 4, items A to D; and
J. notice of the applicant's or recipient's right to appeal a determination of ineligibility for general assistance due to noncompliance with subpart 4, items A to D.
Subp. 3.
[Repealed, 32 SR 1437]
Subp. 4. Requirements upon referral for other maintenance benefits.
When the county agency refers an applicant or recipient to another maintenance benefit program as provided under subpart 2, the applicant or recipient shall do the following:
A. The applicant or recipient shall apply for those benefits within 30 days of the date of referral. If the recipient has not provided the county agency with verification of an application for those benefits within 30 days of the date of referral, the county agency must contact the other maintenance benefit program county office to determine if the recipient has applied for benefits. If the county office of the other maintenance benefit program verifies that the recipient has applied for those benefits, the recipient shall be deemed to have met the requirement of applying for other maintenance benefits. If the county office of the other maintenance benefit program verifies that the recipient has not applied for those benefits, the local agency shall mail or give the recipient notice of termination from general assistance according to subpart 5.
B. The applicant or recipient shall, within 30 days of the date of referral, provide informed written consent and authorization for the county agency or a qualified provider, if one is chosen, to exchange data concerning the applicant or recipient with the other maintenance benefit program county office. The data exchanged must be relevant to a determination of the applicant's or recipient's eligibility or ineligibility for benefits from the other program. For purposes of exchanging private or confidential data about a person for whom a qualified provider has contracted to provide special services, a qualified provider other than the county agency shall not be considered part of the welfare system under Minnesota Statutes, section 13.46, subdivision 1. If the county agency determines that the recipient has not given informed written consent and authorization for the county agency or a qualified provider to exchange data concerning eligibility or ineligibility for the other maintenance benefit program within the prescribed 30 days, the county agency shall mail or give the recipient notice of termination from general assistance according to subpart 5.
C. A recipient shall comply with all procedures necessary to determine eligibility or ineligibility for the other maintenance benefit program. If the county agency determines that the recipient has not complied with the procedures necessary to determine eligibility or ineligibility for other maintenance benefits, the county agency shall mail or give the recipient notice of termination from general assistance according to subpart 5.
D. An applicant or recipient shall execute an interim assistance agreement with the county agency within 30 days of the date of referral. If the recipient fails to execute an interim assistance agreement within the 30 days prescribed, the county agency shall mail or give the recipient notice of termination from general assistance according to subpart 5.
Subp. 5. Ineligibility.
This subpart governs termination of general assistance eligibility for a recipient who fails, without good cause, to comply with the requirements of subpart 4.
A. Upon determining that a recipient has failed, without good cause, to comply with the requirements of subpart 4, the county agency shall mail or give the recipient notification of termination from general assistance. The county agency shall hand deliver or mail the written notice to the recipient at least 30 days before reducing, suspending, or terminating the recipient's monthly general assistance payment. The notice must be on a form prescribed by the commissioner and must:
B. If the recipient complies with the requirements specified in the notice in item A before the termination date stated in the notice, a period of ineligibility must not be imposed.
C. A recipient who fails to comply with the requirements specified in the notice in item A before the termination date stated in the notice is ineligible for general assistance. The period of ineligibility begins on the date specified in the notice and continues until the person fulfills the requirements of subpart 4. The period of ineligibility always begins on the first day of a calendar month. If the ineligible person subsequently applies for general assistance, the application must be denied unless the requirements of subpart 4 have been met.
D. If the person is determined to be ineligible under item C, the assistance standard applicable to the person's assistance unit must be based on the number of remaining eligible members of the assistance unit.
Subp. 6. Appeals.
A recipient to whom the county agency has given or mailed a notice of termination according to subpart 5 may appeal the determination by submitting a written request for a hearing according to Minnesota Statutes, section 256.045. If the recipient files a written request for an appeal on or before the first day of the period of ineligibility under subpart 5, item C, the recipient shall continue to receive general assistance while the appeal is pending, provided that the recipient is otherwise eligible for general assistance.
Subp. 7. Reimbursement for interim assistance.
A county agency must seek reimbursement for the interim assistance provided to a person who has executed an interim assistance agreement under subpart 4, item D, when the person receives a retroactive payment of other maintenance benefits unless reimbursement is prohibited under federal or state law.
The county agency must request reimbursement for interim assistance from the person receiving other retroactive maintenance benefits, except for SSI, or in those instances where the state or county agency has rights of subrogation under Minnesota Statutes, section 256.03. If a request for reimbursement under this subpart is denied, the county agency may institute a civil action to recover the interim assistance based on the interim assistance agreement. The county agency must take no action other than a civil action to recover the interim assistance.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 10 SR 1715; 15 SR 1842; 32 SR 1437
Minn. R. 9500.1256 [Repealed, 32 SR 1437]
[Repealed, 32 SR 1437]
Minn. R. 9500.1257 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1258 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1259 County Agency Responsibilities
Subpart 1.
[Repealed, 32 SR 1437]
Subp. 2. Appeals.
The participant may appeal a proposed termination of benefits until five days after the effective date specified in the notice and continue benefits otherwise due, pending the outcome of the appeal. Appeals from proposed terminations of benefits of participants must be heard within 30 days from the date that the appeal was filed.
Subp. 3. Information about other programs.
A county agency must inform an applicant or recipient about other programs administered by the county agency for which, from the county agency's knowledge of the person's situation, the person may be eligible.
Subp. 4. Notices.
The county agency shall mail or hand deliver a notice to a recipient no later than ten days before the effective date of the action except as provided in items A to C. A recipient who has failed to provide the county agency with a mailing address must be assigned a schedule by which the recipient is to visit the agency to pick up any notices. Notices will be deemed to have been delivered on the date of the recipient's next scheduled visit to the county agency.
A. A county agency shall mail a notice to a recipient no later than five days before the effective date of the action when the county agency has factual information which requires an action to reduce, suspend, or terminate assistance based on probable fraud.
B. A county agency must mail or hand deliver a notice to a recipient no later than the effective date of the action when:
C. Whenever any provision of this subpart conflicts with any special notice requirements of another part, those special notice provisions shall prevail.
History
- Statutory Authority: MS s 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; L 2004 c 206 s 52; 32 SR 1437
Minn. R. 9500.1260 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1261 Emergency Assistance
Subpart 1. Emergency assistance.
A county agency shall make grants of general assistance for emergency situations to eligible individuals, married couples, or families whether residents or nonresidents of the state. The emergency assistance grant may be in excess of the standard amounts for eligible individuals, married couples, or families under part 9500.1231.
Subp. 2. Emergency situation.
An emergency situation is a situation in which an assistance unit is without, or will lose within 30 days after application, a basic need item as defined in part 9500.1206, subpart 7a.
A. The emergency situation must require immediate financial assistance.
B. The financial assistance required by the emergency must be temporary and must not exceed 30 days subsequent to the date of application. Assistance must be paid for needs that accrue before the 30-day period when it is necessary to resolve emergencies arising or continuing during the 30-day period subject to subpart 4.
Subp. 3. Eligible persons.
Eligible individuals, married couples, or families are those:
A. who are not current recipients of DWP or MFIP;
B. who are not recipients under or eligible for county emergency assistance through the MFIP consolidated fund program under Minnesota Statutes, section 256J.626, in the month of application for emergency general assistance;
C. whose resources are not adequate to resolve the emergency situation. For the purpose of this part, "resources" means any funds or services which can actually be available to the applicant or recipient or any member of the filing unit before the loss of a basic need item. Resources include available income without exclusion or disregard, and any resource otherwise excluded under part 9500.1221, subpart 2, which could be liquidated before the loss of a basic need item, so long as the terms of any borrowing cannot be reasonably expected to place the borrower in another emergency situation within three months including the month of application.
D. [Repealed, L 2011 1Sp9 art 1 s 35]
E. [Repealed, L 2011 1Sp9 art 1 s 35]
Subp. 4.
[Repealed, L 2011 1Sp9 art 1 s 35]
Subp. 5.
[Repealed, L 2011 1Sp9 art 1 s 35]
Subp. 6. Excess grants, county agency payment responsibility.
A county agency may issue emergency assistance grants that exceed the limitations in subpart 4 if the county agency does not include the additional costs on its claim for state aid reimbursement.
History
- Statutory Authority: MS s 14.388; 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 1842; L 2005 c 56 s 2; 32 SR 1437; L 2011 1Sp9 art 1 s 35
Minn. R. 9500.1262 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1264 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1266 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1268 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1270 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1272 Assignment of Representative Payee for Recipients Who Are Drug Dependent
Subpart 1. Definitions.
As used in this part, the following terms have the meanings given them in this subpart.
A. "Basic needs" means the minimum personal requirements of subsistence and is restricted to:
B. "Chemical use assessment" means the assessment defined in part 9530.6605, subpart 8.
C. "Client" means an applicant for or recipient of general assistance.
D. "Detoxification" means the program of services provided under Minnesota Statutes, section 254A.08.
E. "Disconjugate gaze" means an inability to move both eyes in unison.
F. "Drug abuse" means chemical abuse as defined in part 9530.6605, subpart 6.
G. "Drug dependency" means chemical dependency as defined in part 9530.6605, subpart 7.
H. "Representative payee" means a person or agency selected to receive and manage general assistance benefits provided by the county agency on behalf of a general assistance recipient.
I. "Vendor payment" means a payment made by a county agency directly to a provider of goods or services.
Subp. 2. Referral for chemical use assessment.
A county agency may refer an applicant or a recipient for a chemical use assessment by an assessor as defined in part 9530.6605, subpart 4, when there is a reasonable basis for questioning whether a person is drug dependent. A reasonable basis for referral exists when:
A. The person has required detoxification two or more times in the last 12 months;
B. The person appears intoxicated at the county agency as indicated by two or more of the following:
C. The person has been involuntarily committed for drug dependency at least once in the past 12 months; or
D. The person has received treatment, including domiciliary care, for drug abuse or dependency at least twice in the past 12 months.
Subp. 3. Referral procedures for chemical use assessment.
A referral for a chemical use assessment must be made according to items A and B.
A. When the county agency decides to refer a client for a chemical use assessment, the county agency shall notify the client of the referral in writing. The notice must inform the client of:
B. The client must be given the opportunity to participate in a chemical use assessment within 15 days after the date the notice of referral is mailed or delivered to the client.
Subp. 4. Form of payment pending completion of assessment.
A county agency shall provide only emergency general assistance (EGA) or general assistance vendor payments to a client who has been referred for a chemical use assessment under subpart 2. EGA may be provided to clients only in emergency situations as provided in part 9500.1261. All other payments made under this subpart must be general assistance vendor payments.
Subp. 5. Timing and duration of general assistance vendor payments or EGA.
A county agency shall not change the form of a recipient's benefit payments from cash general assistance to general assistance vendor payments under subpart 4 until ten days after the notice of referral under subpart 3 is mailed or delivered to the recipient. If the client meets the criteria for assignment of a representative payee under subpart 8, the county agency shall continue to provide EGA or general assistance vendor payments until the county agency begins making general assistance payments through the client's representative payee. If the client does not meet the criteria under subpart 8 for assignment of a representative payee, the county agency shall provide future general assistance benefits to which the client is entitled in cash beginning on the first day of the payment month immediately following the date of the determination that the client does not meet the criteria for assignment of a representative payee.
Subp. 6. Amount of vendor payments.
EGA or general assistance vendor payments may be provided only to the extent needed to meet the client's basic needs. If the county agency is unable to vendor pay the entire standard of assistance to which the client is entitled, the remaining amount of the standard of assistance must not be issued until a representative payee is assigned or until the county agency decides not to assign a representative payee. If a representative payee is assigned, the unissued amount must be provided to the representative payee within 15 days after the date the county agency begins making payments through the representative payee. If the client does not meet the criteria under subpart 8 for assignment of a representative payee, the unissued amount must be provided directly to the client within 15 days after the date of the determination that the client does not meet the criteria for assignment of a representative payee.
Subp. 7. Assessment.
The chemical use assessment must be conducted according to parts 9530.6600 to 9530.6655.
Subp. 8. Criteria governing assignment of representative payee.
The county agency may assign a representative payee to manage a client's general assistance if the client fails, without good cause as defined in part 9500.1206, subpart 15, to participate in a chemical use assessment within 30 days after referral under subparts 2 and 3; or if an assessment performed within the last six months indicates that the client is drug dependent and eligible for placement in extended care under part 9530.6640.
Subp. 9. Procedures governing assignment of representative payee after referral.
A representative payee must be assigned according to items A to C.
A. The county agency shall provide the client with an opportunity to consult with the county agency in selecting a representative payee. The county agency shall consider the client's preferences for particular individuals to serve as payees but the county agency's preference must prevail.
B. The county agency shall notify the client in writing of:
C. The notice under item B must be mailed or delivered to the client or the client's last known address within 15 days after the date of the chemical use assessment on which the assignment is based, or within 30 days after the date of the referral under subparts 2 and 3 if a representative payee is assigned because of the client's failure to participate in an assessment. The notice must also be mailed or delivered at least ten days before the county agency begins making payments through the representative payee.
Subp. 10. Procedures governing assignment of representative payee without referral.
A county agency may assign a representative payee to a client who meets the criteria for assignment under subpart 8 but who has not been referred for a chemical use assessment under subparts 2 and 3. A representative payee assigned under this subpart must be assigned according to items A to E.
A. The county agency may provide only emergency general assistance or general assistance vendor payments to a client who meets the criteria for assignment of a representative payee under subpart 8 until the county agency begins making general assistance payments through the client's representative payee or until the first day of the payment month following a determination that the client does not meet the criteria for assignment of a representative payee. Payments under this item shall be made according to subparts 4 and 6 and shall not begin until the date the county agency mails or delivers the notice under item C.
B. The county agency shall provide a client with an opportunity to consult with the county agency on the choice of representative payee as provided in subpart 9, item A.
C. The county agency shall notify a client in writing of:
D. The county agency shall notify a client in writing of its selection of a representative payee within 15 days after issuing the notice required under item C. The notice shall inform the client of:
E. The county agency shall not begin making payments through a representative payee until at least ten days after the notice under item D is mailed or delivered to the client.
Subp. 11. Criteria governing the choice of representative payee.
A county agency shall appoint as representative payee an individual or agency who is likely to manage the client's income and resources in a manner that meets the client's basic needs. A county agency shall not appoint as representative payee any individual to whom the client is in financial debt. In selecting the representative payee, the county agency shall consider all factors relevant to the prospective payee's ability to manage the client's general assistance to meet the client's basic needs, including the following factors:
A. the prospective payee's experience and training in managing the finances of others;
B. the prospective payee's familiarity with the geographic area and the community resources available to meet the client's basic needs; and
C. the relationship between the prospective payee and the client, including any legal authority the prospective payee has to act on behalf of the client.
Subp. 12. Responsibilities of the representative payee.
The representative payee assigned to a client must:
A. use the client's general assistance benefits to meet the client's current basic needs;
B. maintain clear and current records of all expenditures made on behalf of the client; and
C. complete a report every six months containing the client's general assistance financial records and a recommendation as to whether the client continues to require a representative payee. The report must be provided to the county agency and the client on request.
Subp. 13. Review of client's representative payee status.
The county agency shall conduct a review of a client's need to continue receiving benefits through a representative payee within 12 months of the client's previous chemical use assessment. The county agency shall conduct the review under this subpart no earlier than six months after the client's previous chemical use assessment. A review requested by a client must be conducted within 15 days of the client's request. Each review conducted under this subpart must include a chemical use assessment to determine whether the recipient remains drug dependent and eligible for placement in extended care and an examination of the representative payee's report required under subpart 12.
Subp. 14. Discontinuing a client's representative payee status.
A county agency shall discontinue the use of a representative payee only if a review conducted under subpart 13 indicates that the client is no longer eligible for placement in extended care. A county agency shall not discontinue the use of a representative payee until at least six months have elapsed since the client last underwent a chemical use assessment showing the client to be chemically dependent and eligible for placement in extended care.
Subp. 15. Investigating need for change in representative payee.
The county agency shall review a representative payee's performance and determine whether to appoint a new representative payee if the client alleges or the county agency has reason to believe that the representative payee is not complying with the requirements of subpart 12. When an investigation is initiated in response to a client's complaint, the county agency's decision to retain the current representative payee or appoint a new one must be made within 30 days of the date the complaint is received by the county agency. An investigation conducted under this subpart must include a review of all financial records maintained by the representative payee concerning the use of the client's general assistance benefits and any other relevant evidence.
Subp. 16. Duration of a representative payee designation.
Notwithstanding any gaps in the receipt of general assistance, the designation of a specific representative payee shall continue for at least six months unless:
A. the client no longer meets the criteria for assignment of a representative payee under subpart 8;
B. the representative payee is not fulfilling the responsibilities under subpart 12; or
C. the representative payee requests to discontinue serving as the client's representative payee.
Subp. 17. Change in representative payee.
The county agency shall appoint a new representative payee if the current representative payee fails to comply with the requirements of subpart 12 or requests that the county agency appoint a new representative payee.
Subp. 18. Appealable issues.
A client may appeal:
A. the proposed assignment of a representative payee, including the results of the chemical use assessment upon which the assignment is based;
B. the county agency's choice of representative payee; and
C. the decision to refer a person for an assessment. However, notwithstanding any provision of Minnesota Statutes, section 256.045 to the contrary, an applicant or recipient who is referred for an assessment and is otherwise eligible to receive a general assistance benefit may only be provided with emergency general assistance or vendor payments pending the outcome of an administrative or judicial review. If a representative payee is assigned under subpart 8 without a chemical use assessment, the client may appeal the county agency's determination that the client did not have good cause for failing to participate in the chemical use assessment.
Subp. 19. Appeal procedures and timing of appeals.
If the client appeals before the date the representative payee is scheduled to begin receiving the client's general assistance benefits, the county agency shall continue to vendor pay the client's general assistance and shall not make general assistance payments through the representative payee until after the appeal is decided unless the client requests in writing to have payments made through the representative payee pending the outcome of the appeal.
History
- Statutory Authority: MS s 256D.01; 256D.04; 256D.051; 256D.06; 256D.08; 256D.09; 256D.111
- History: 15 SR 120; 15 SR 1842
Minn. R. 9500.1300 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1302 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1304 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1306 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1308 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1310 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1312 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1314 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1316 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1318 [Repealed, 15 SR 1842]
[Repealed, 15 SR 1842]
Minn. R. 9500.1450 Introduction
Subpart 1. Scope.
Parts 9500.1450 to 9500.1464 govern administration of the prepaid medical assistance program (PMAP) in Minnesota. Parts 9500.1450 to 9500.1464 shall be read in conjunction with title XIX of the Social Security Act, Code of Federal Regulations, title 42, and waivers approved by the Centers for Medicare and Medicaid Services, Minnesota Statutes, chapters 256 and 256B, and rules adopted under them, governing the administration of the title XIX program and PMAP in Minnesota.
Subp. 2. References.
Parts 9500.1450 to 9500.1464 shall be interpreted as necessary to comply with federal laws and regulations and state laws applicable to the prepaid medical assistance program.
Subp. 3.
[Repealed, L 2014 c 291 art 10 s 14]
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086; L 2002 c 277 s 32; L 2014 c 291 art 10 s 14
Minn. R. 9500.1451 Definitions
Subpart 1. Scope.
For the purposes of parts 9500.1450 to 9500.1464, the following terms have the meanings given them in this part.
Subp. 2.
[Repealed, 16 SR 1086]
Subp. 2a. Appeal.
"Appeal" means an enrollee's written request for a hearing, filed with the commissioner according to Minnesota Statutes, section 256.045, related to the delivery of health services or participation in a health plan.
Subp. 2b. Authorization.
"Authorization" means a participating provider's written referral for health services provided by a nonparticipating provider. Authorization includes an admission request by a participating provider, on behalf of a PMAP enrollee, following the established health plan admission procedures for inpatient health services.
Subp. 2c. Authorized representative.
"Authorized representative" means a person authorized in writing by a PMAP consumer to act on the PMAP consumer's behalf in matters involving the prepaid medical assistance program.
Subp. 3.
[Repealed, 16 SR 1086]
Subp. 4. Capitation.
"Capitation" means a method of payment for health services that involves a monthly per person rate paid on a prospective basis to a health plan.
Subp. 4a. Case management.
"Case management" means a method of providing health care in which the health plan coordinates the provision of health services to an enrollee.
Subp. 4b. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designated representative.
Subp. 4c. Complaint.
"Complaint" means an enrollee's written or oral communication to a health plan expressing dissatisfaction with the provision of health services. The subject of the complaint may include, but is not limited to, the scope of covered services, quality of care, or administrative operations.
Subp. 5.
[Repealed, 16 SR 1086]
Subp. 6. Department.
"Department" means the Department of Human Services.
Subp. 7. Enrollee.
"Enrollee" means a PMAP consumer who is enrolled in a health plan.
Subp. 7a. Health plan.
"Health plan" means an organization contracting with the state to provide medical assistance health services to enrollees in exchange for a monthly capitation payment.
Subp. 8. Health services.
"Health services" means the services and supplies given to a recipient by a provider for a health related purpose under Minnesota Statutes, section 256B.0625.
Subp. 9. Insolvency.
"Insolvency" means the condition in which a health plan is financially unable to meet the financial and health care service delivery obligations in the contract between the department and the health plan.
Subp. 10. Local agency.
"Local agency" means a county or multicounty agency that is authorized under Minnesota Statutes, sections 393.01, subdivision 7, and 393.07, subdivision 2, as the agency responsible for determining recipient eligibility for the medical assistance program.
Subp. 11.
[Repealed, 16 SR 1086]
Subp. 12.
[Repealed, 16 SR 1086]
Subp. 13. Medical assistance or MA.
"Medical assistance" or "MA" means the program established under title XIX of the Social Security Act and Minnesota Statutes, chapter 256B.
Subp. 14. Medical assistance population or MA population.
"Medical assistance population" or "MA population" means a category of eligibility for the medical assistance program, the eligibility standards for which are in parts 9505.0010 to 9505.0150 and Minnesota Statutes, section 256B.055.
Subp. 14a. Multiple health plan model.
"Multiple health plan model" means a health services delivery system that allows PMAP consumers to enroll in one of two or more health plans.
Subp. 14b. Nonparticipating provider.
"Nonparticipating provider" means a provider who is not employed by or under contract with a health plan to provide health services.
Subp. 14c. Ombudsperson.
"Ombudsperson" means an individual designated by the commissioner under Minnesota Statutes, section 256B.031, subdivision 6, to advocate for PMAP consumers and enrollees and to assist them in obtaining necessary health services.
Subp. 14d. Open enrollment.
"Open enrollment" means the annual 30-day period during which PMAP enrollees in a multiple health plan model may change to another health plan.
Subp. 14e. Participating provider.
"Participating provider" means a provider who is employed by or under contract with a health plan to provide health services.
Subp. 14f. Personal care assistant.
"Personal care assistant" means a provider of personal care services prescribed by a physician, supervised by a registered nurse, and provided to a medical assistance recipient under Minnesota Statutes, section 256B.0659. A personal care assistant must not be the recipient's spouse, legal guardian, or parent if the recipient is a minor child.
Subp. 14g. Personal care services.
"Personal care services" has the meaning given it in Minnesota Statutes, section 256B.0655, subdivision 2.
Subp. 14h. Prepaid medical assistance program or PMAP.
"Prepaid medical assistance program" or "PMAP" means the prepaid medical assistance program authorized under Minnesota Statutes, section 256B.69.
Subp. 14i. PMAP consumer.
"PMAP consumer" means a medical assistance recipient who is selected to participate in PMAP.
Subp. 14j. Prepayment coordinator.
"Prepayment coordinator" means the individual designated by the local agency under Minnesota Statutes, section 256B.69, subdivision 21.
Subp. 14k. Primary care provider health plan model.
"Primary care provider health plan model" means a health services delivery system that allows PMAP consumers to select a primary care physician and primary care dentist from a list of physicians and dentists under contract with the state or a county to provide health services to PMAP consumers.
Subp. 15. Provider.
"Provider" means a person or entity providing health services.
Subp. 16. Rate cell.
"Rate cell" means a grouping of recipients by demographic characteristics, established by the commissioner for use in determining capitation rates. The following are deemed to be demographic characteristics: a recipient's age, sex, medicare status, basis of medical assistance eligibility, county of residence, and residence in a long-term care facility.
Subp. 16a. Rate cell year.
"Rate cell year" means the period beginning on the date of enrollment in the health plan and ending on the date of the annual eligibility review or the date of enrollment in a new plan, whichever occurs sooner, and thereafter the 12-month period between eligibility reviews during which an enrollee's rate cell assignment is fixed.
Subp. 17. Recipient.
"Recipient" means a person who has been determined by the local agency to be eligible for the medical assistance program.
Subp. 17a. Spenddown.
"Spenddown" means the process by which a person who has income in excess of the medical assistance income standard becomes eligible for medical assistance by incurring health services expenses, other than nursing home facility per diem charges, that are not covered by a liable third party and that reduce the excess income to zero.
Subp. 17b. State institution.
"State institution" means all regional treatment centers as defined in Minnesota Statutes, section 245.0312, and all state operated facilities as defined in Minnesota Statutes, section 252.50.
Subp. 18.
[Repealed, 16 SR 1086]
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086
Minn. R. 9500.1452 Eligibility to Enroll in a Health Plan
Subpart 1. Medical assistance eligibility required for PMAP participation.
Only persons who have been determined eligible for medical assistance under parts 9505.0010 to 9505.0140 shall be eligible to participate in the prepaid medical assistance program.
Subp. 2. Medical assistance categories ineligible for PMAP.
A person who belongs to a category listed in items A to N is ineligible to enroll in a health plan under the prepaid medical assistance program:
A. a person who is eligible for medical assistance on a spenddown basis as defined in part 9500.1451, subpart 17a;
B. [Repealed, L 1995 c 207 art 6 s 124]
C. a person who is a resident of a state institution;
D. a person who is receiving benefits under the Refugee Assistance Program, established at United States Code, title 8, section 1522(e);
E. a person who is eligible for medical assistance through an adoption subsidy;
F. a person who is determined eligible for medical assistance due to blindness or disability as certified by the Social Security Administration or the state medical review team, unless the recipient is 65 years of age or older;
G. a person who is eligible for medical assistance but currently has private health insurance coverage through a health maintenance organization licensed under Minnesota Statutes, chapter 62D;
H. a person who resides in Itasca County but who lives near the county border and who chooses to use a primary care provider located in a neighboring county;
I. a person who is a qualified medicare beneficiary, as defined in United States Code, title 42, section 1396(d), who is not otherwise eligible for medical assistance;
J. a person who is terminally ill as defined under part 9505.0297, subpart 2, item N, and who, at the time of notification of mandatory enrollment in PMAP, has a permanent relationship with a primary physician who is not part of any PMAP health plan;
K. a person who is in foster placement;
L. a child who prior to enrollment in a health plan is determined to be in need of protection under Minnesota Statutes, section 260C.201, is identified to the state by the county social service agency, and is receiving medical assistance covered services through a provider who is not a participating provider in PMAP;
M. a child who prior to enrollment in a health plan is determined to be severely emotionally disturbed under Minnesota Statutes, sections 245.487 to 245.4889, and is:
N. a person who, at the time of notification of mandatory enrollment in PMAP:
Subp. 3.
[Repealed, L 2014 c 291 art 10 s 14]
Subp. 4. Elective enrollment.
An individual categorically excluded from PMAP under subpart 2, item G, may enroll in PMAP on an elective basis if the private health insurance health plan is the same as the health plan the consumer will select under PMAP.
Individuals categorically excluded from PMAP under subpart 2, items K, L, and M, may enroll in the prepaid medical assistance program on an elective basis.
Program requirements are the same for elective and mandatory PMAP enrollees under Minnesota Statutes, section 256B.69.
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086; L 1995 c 207 art 6 s 124; L 2007 c 147 art 8 s 38; L 2014 c 291 art 10 s 14
Minn. R. 9500.1453 Mandatory Participation; Free Choice of Health Plan
Subpart 1. Local agency enrollment of PMAP consumers.
Each local agency shall enroll recipients to participate as PMAP consumers in the prepaid medical assistance program. Health services may be provided to PMAP consumers under a multiple health plan model or a primary care provider health plan model.
Subp. 2. Counties using a multiple health plan model, choice.
In a county that uses a multiple health plan model, the local agency shall notify each PMAP consumer, in writing, of the health plan choices available. The PMAP consumer shall be given 30 days after receiving the notification to select a health plan and to inform the local agency of the health plan choice. If a PMAP consumer fails to select a health plan within 30 days, the local agency must randomly assign the PMAP consumer to a health plan at the end of the 30-day period. The commissioner shall notify each PMAP consumer in writing before the effective date of enrollment, of the health plan in which the PMAP consumer will be enrolled.
Subp. 3. Counties using primary care provider health plan model, provider choice.
In a county that uses a primary care provider health plan model, the local agency shall notify each PMAP consumer, in writing, of the primary care physicians and dentists available. The PMAP consumer shall be given 30 days after receiving the notification to select a primary care physician and dentist and to inform the local agency of the choice. If a PMAP consumer fails to select a primary care physician or dentist within 30 days, the local agency must randomly assign the PMAP consumer to a primary care physician and dentist at the end of the 30-day period. The local agency shall notify each PMAP consumer in writing of the assigned primary care physician or dentist before the effective date of enrollment.
Subp. 4. Designation of prepayment coordinator.
To carry out its responsibilities under this part, each local agency shall designate a prepayment coordinator. The prepayment coordinator shall perform the duties set forth under Minnesota Statutes, section 256B.69, subdivision 21. The commissioner shall monitor the tasks performed by the prepayment coordinator.
Subp. 5. Enrollment period in counties using a multiple health plan model; change.
In a county that uses a multiple health plan model, a PMAP consumer shall be enrolled in a health plan for up to one year from the date of enrollment but shall have the right to change to another health plan once within the first year of initial enrollment in PMAP. In addition, when a PMAP consumer is enrolled in a health plan whose participation in PMAP is subsequently terminated for any reason, the PMAP consumer shall be provided an opportunity to select a new health plan and shall have the right to change health plans within the first 60 days of enrollment in the second health plan. An enrollee shall also have the opportunity to change to another health plan during the annual 30-day open enrollment period. The local agency shall notify enrollees of the opportunity to change to another health plan before the start of each annual open enrollment period.
Subp. 6. Enrollment period in counties using primary care provider health plan model; change.
In a county that uses a primary care provider health plan model, an enrollee shall select a primary care physician or dentist for a period up to one year from the date of enrollment but shall have the right to select a new primary care physician or dentist during the first year of initial enrollment. An enrollee shall also have the opportunity to change primary care physicians and dentists on an annual basis. The local agency shall notify an enrollee of this change option.
Subp. 7. Enrollment changes without a hearing, substantial travel time.
An enrollee in a multiple health plan model may change a health plan and an enrollee in a primary care provider health plan model may change a primary care provider without a hearing if the travel time to the enrollee's primary care provider is over 30 minutes from the enrollee's residence. The county shall notify the commissioner, in writing, prior to making a change under this subpart.
Subp. 8. Enrollment changes without a hearing when agency error.
Upon an enrollee's request, the county shall change an enrollee's health plan or primary care physician or dentist without a hearing when the enrollee's health plan or primary care physician or dentist choice was incorrectly designated due to local agency error.
The county shall notify the commissioner, in writing, prior to making a change under this subpart.
Subp. 9. Authorized representative.
A PMAP consumer may designate an authorized representative to act on the PMAP consumer's behalf in matters involving the PMAP.
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086
Minn. R. 9500.1454 Records
A health plan shall maintain fiscal and medical records as required in part 9505.0205. A local agency shall comply with part 9505.0135 and maintain a list showing the enrollment choices of recipients who participate in the PMAP.
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086
Minn. R. 9500.1455 Third-Party Liability
To the extent required under Minnesota Statutes, section 62A.046 and part 9505.0070, the health plan shall coordinate benefits for or recover the cost of medical care provided to its enrollees who have private health care or Medicare coverage. Coordination of benefits includes paying applicable co-payment or deductibles on behalf of an enrollee.
The health plan must comply with the claims settlement requirements under Minnesota Statutes, section 256B.69, subdivision 6, paragraph (b).
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086
Minn. R. 9500.1456 [Repealed, L 2014 c 291 art 10 s 14]
[Repealed, L 2014 c 291 art 10 s 14]
Minn. R. 9500.1457 Services Covered by Pmap
Subpart 1. In general.
Services currently available under the medical assistance program in Minnesota Statutes, section 256B.0625 and parts 9505.0170 to 9505.0475 are covered under PMAP. Chemical dependency services provided under this part must fully comply with the requirements of parts 9530.4100 to 9530.6655. The following services are not covered:
A. case management services for serious and persistent mental illness as defined in Minnesota Statutes, section 256B.0625, subdivision 20;
B. nursing home facility per diem services as defined in Minnesota Statutes, section 256B.0625, subdivision 2, and parts 9549.0010 to 9549.0080; and
C. services provided under home-based and community-based waivers authorized under United States Code, title 42, section 1396.
Subp. 2. Additional services.
A health plan may provide services in addition to those available under the medical assistance program.
Subp. 3. Prior authorization of services.
A health plan shall be exempt from the requirements of Minnesota Statutes, chapter 256B, parts 9505.0170 to 9505.0475 and 9505.5000 to 9505.5030, that require prior authorization before providing health services to an enrollee.
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086
Minn. R. 9500.1458 Data Privacy
Under Minnesota Statutes, section 13.46, subdivisions 1 and 2, a health plan under contract with the department is considered an agent of the department and shall have access to information on its enrollees to the extent necessary to carry out its responsibilities under the contract. The health plan must comply with Minnesota Statutes, chapter 13, the Minnesota Government Data Practices Act.
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086
Minn. R. 9500.1459 Capitation Policies
Subpart 1. Rates.
On or before the tenth day of each month, the commissioner shall prepay each health plan the capitation rates specified in the contract between the health plan and the state. The capitation rates shall be developed in accordance with Minnesota Statutes, section 256B.69. The capitation rates established under this part, the rate methodology and the contracts with the health plan shall be made available to the public upon request. The rates established must be less than the average per capita fee-for-service medical assistance costs for an actuarially equivalent population.
Subp. 2.
[Repealed, 16 SR 1086]
Subp. 3.
[Repealed, 16 SR 1086]
Subp. 4.
[Repealed, 16 SR 1086]
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086
Minn. R. 9500.1460 Additional Requirements
Subpart 1. Health plan requirements.
An organization that seeks to participate as a health plan under the PMAP shall meet the criteria in subparts 2 to 17.
Subp. 2. Medical assistance populations covered.
A health plan may choose to serve the medical assistance population defined in part 9500.1452 or the aged medical assistance population exclusively.
Subp. 3. Services provided.
A health plan shall provide its enrollees all health services eligible for medical assistance payment under Minnesota Statutes, section 256B.0625, and parts 9505.0170 to 9505.0475 except for services excluded in part 9500.1457, subpart 1, items A to C.
Subp. 4. Prohibition against copayments.
A health plan shall not charge its enrollees for any health service eligible for medical assistance payment under parts 9505.0170 to 9505.0475 or for a medically necessary health service that is provided as a substitute for a health service eligible for medical assistance payment.
Subp. 5. Plan organization.
A health plan may choose to organize itself as either a profit or not-for-profit organization.
Subp. 6. Contractual arrangements.
A health plan shall contract with providers as necessary to meet the health service needs of its enrollees. Before contracting with the state, and on an annual basis after contracting with the state, the health plan shall give the commissioner a current list of the names and locations of the providers under contract with the health plan. These subcontracts shall be submitted to the commissioner upon request. The commissioner shall require a health plan to terminate a subcontract under the following conditions:
A. the subcontractor is terminated as a medical assistance provider under the provisions of parts 9505.2160 to 9505.2245;
B. the commissioner finds through the quality assurance review process contained in subpart 17 that the quality of services provided by the subcontractor is deficient in meeting the department's quality assurance standards and the subcontractor has failed to take action to correct the area of deficiency within 60 days; or
C. the subcontractor has failed to comply with the Department of Health licensure standards under Minnesota Statutes, chapter 62D.
Subp. 7. Enrollment capacity.
A health plan shall accept all PMAP consumers who choose or are assigned to the health plan, regardless of the PMAP consumers' health conditions, if the PMAP consumers are from the medical assistance category or categories and the geographic area or areas specified in the contract between the health plan and the state. The commissioner shall limit the number of enrollees in the health plan upon the issuance of a contract termination notice under subpart 12.
Subp. 8. Financial capacity.
A health plan shall demonstrate its financial risk capacity through a reserve fund or other mechanism agreed upon by the providers within the health plan in the contract with the department. A health plan that is licensed as a health maintenance organization under Minnesota Statutes, chapter 62D, or a nonprofit health plan licensed under Minnesota Statutes, chapter 62C, is not required to demonstrate a financial risk capacity beyond the financial risk capacity required to comply with the requirements of Minnesota Statutes, chapter 62C or 62D.
Subp. 9. Insolvency.
A health plan must have a plan approved by the commissioner for transferring its enrollees to other sources of health services if the health plan becomes insolvent.
Subp. 10. Limited number of contracts.
The commissioner may limit the number of health plan contracts in effect under PMAP.
Subp. 11. Liability for payment for unauthorized services.
Except for emergency health services under Minnesota Statutes, section 256B.0625, subdivision 4, or unless otherwise specified in contract, a health plan shall not be liable for payment for unauthorized health services rendered by a nonparticipating provider. The department is not liable for payment for health services rendered by a nonparticipating provider.
Subp. 11a. Liability for payment for authorized services rendered by a nonparticipating provider.
When a health plan or participating provider authorizes services for out-of-plan care, the health plan shall reimburse the nonparticipating provider for the out-of-plan care. The health plan is not required to reimburse the nonparticipating provider more than the comparable medical assistance fee for service rate, unless another rate is otherwise required by law. A nonparticipating provider shall not bill the PMAP enrollee for any portion of the cost of the authorized service.
Subp. 12. Termination of participation as a health plan.
The state may terminate a contract upon 90 days' written notice to the health plan. When the state issues a contract termination notice, the health plan must notify its enrollees in writing at least 60 days before the termination.
Subp. 13. Financial requirements placed on health plan.
Each health plan shall be accountable to the commissioner for the fiscal management of the health services it provides enrollees. The state and the health plan's enrollees shall be held harmless for the payment of obligations incurred by a health plan if the health plan or a participating provider becomes insolvent and if the state has made the payments due the health plan under part 9500.1459.
Subp. 14. Required educational and enrollee materials.
When contracting with the state, a health plan must provide to the commissioner educational materials to be given to the medical assistance population specified in the contract. The material should explain the services to be furnished to enrollees. No educational materials designed to solicit the enrollment of PMAP consumers shall be disseminated without the commissioner's prior approval.
When a person enrolls in the health plan, the health plan shall provide each enrollee with a certificate of coverage, a health plan identification card, a listing of plan providers, and a description of the health plan's complaint and appeal procedure.
According to Minnesota Statutes, section 256.016, any educational materials, new enrollee information, complaint and appeal information, or other enrollee materials must be understandable to a person who reads at the seventh grade level as determined by the Flesch readability scale index defined in Minnesota Statutes, section 72C.09.
Subp. 15. Required case management system.
A health plan shall implement a system of case management in which an enrollee's individual medical needs are assessed to determine the appropriate plan of care. The individual plan of care shall be developed, implemented, evaluated, monitored, revised, and coordinated with other health care providers, as appropriate and necessary.
Subp. 16. Required submission of information.
The contract between the state and the health plan shall specify the information the health plan shall submit to the commissioner and the Centers for Medicare and Medicaid Services, and the form in which the information shall be submitted. The information submitted must enable the commissioner to make the calculations required under part 9500.1459 and to carry out the requirements of parts 9505.2160 to 9505.2245 and the Centers for Medicare and Medicaid Services. A health plan shall make the required information available to the commissioner at times specified in the contract or, if the commissioner requires additional information for the purposes in this subpart, within 30 days of the date of the commissioner's written request for the additional information.
Subp. 17. Required quality assurance system.
Each health plan shall have an internal quality assurance system in operation that meets the requirements of title XIX of the Social Security Act. This quality assurance system shall encompass an ongoing review of:
A. use of services;
B. case review of all problem cases and a random sample of all cases, including review of medical records and an assessment of medical care provided in each case;
C. enrollee complaints and the disposition of the complaints; and
D. enrollee satisfaction, as monitored through an annual survey. Based on the results of the review, the health plan shall develop an appropriate corrective action plan and monitor the effectiveness of the corrective action or actions taken. The health plan shall permit the commissioner and United States Department of Health and Human Services or their agents to evaluate through inspection or other means the quality, appropriateness, and timeliness of services performed under its contract with the commissioner. If the commissioner or Department of Health and Human Services finds that the quality of services offered by the health plan is deficient in any area, and, after giving the health plan at least 60 days in which to correct the deficiency, the health plan has failed to take action to correct the area of deficiency, the commissioner shall withhold all or part of the health plan's capitation premiums until the deficiency identified under subpart 6 is corrected to the satisfaction of the commissioner or the Department of Health and Human Services.
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086; L 2002 c 277 s 32
Minn. R. 9500.1462 Second Medical Opinion
A health plan must indicate in the certificate of coverage that enrollees have a right to a second medical opinion according to items A to C.
A. A health plan must provide, at its expense, a second medical opinion within the health plan upon enrollee request.
B. According to Minnesota Statutes, section 62D.103, a health plan is required to provide a second medical opinion by a qualified nonparticipating provider when it determines that an enrollee's chemical dependency or mental health problem does not require structured treatment.
C. According to Minnesota Statutes, section 256.045, subdivision 3a, paragraph (b), a health plan must provide, at its expense, a second medical opinion by a participating provider or nonparticipating provider when ordered by a state human services referee.
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086
Minn. R. 9500.1463 Complaint and Appeal Procedures
Subpart 1.
[Repealed, 16 SR 1086]
Subp. 2.
[Repealed, 16 SR 1086]
Subp. 3. Health plan complaint procedure.
A health plan shall have a written procedure for reviewing enrollee complaints. This complaint procedure must be approved by the commissioner. The complaint procedure must include both an informal process, in which a determination is made within ten calendar days after the date a health plan receives a verbal complaint, and a formal process to handle written complaints. The formal process shall provide for an impartial hearing containing the elements in items A to D.
A. A person or persons with authority to resolve the case shall be designated to hear the complaint.
B. The enrollee has the right to be represented at the hearing by a representative of his or her choice, including legal counsel.
C. The enrollee and the health plan may call witnesses to provide relevant testimony.
D. A determination shall be made and written notice of the decision shall be issued to the enrollee within 30 days after the date the written complaint is received by the health plan. The written notice shall include notice of the enrollee's right to appeal to the state. Each health plan shall provide its enrollees with a written description of the health plan's complaint procedure and the state's appeal procedure at the time of enrollment. The written description shall clearly state that exhaustion of the health plan's complaint procedure is not required before appealing to the state. The health plan's complaint procedure and revisions to the complaint procedure must be approved by the commissioner. Approved revisions in the health plan's complaint procedure must be communicated, in writing, to its enrollees at least two weeks before the revisions are implemented.
Subp. 4. Health plan notice requirements.
When a health plan denies, reduces, or terminates a health service, it must notify the enrollee or the enrollee's authorized representative in writing of the right to file a complaint or appeal according to Minnesota Statutes, section 256.045, subdivision 3. The notice must explain:
A. the right to a second opinion within the plan;
B. how to file a complaint;
C. how to file a state appeal, including the name and telephone number of the state ombudsperson;
D. the circumstances under which health services may be continued pending an appeal; and
E. the right to request an expedited hearing under Minnesota Statutes, section 256.045, subdivision 3a, paragraph (c). For purposes of this subpart, a health plan does not include the treating physician, second opinion physician, or other treating health care professional whether employed by, or contracting with, the health plan.
Subp. 5. State appeal procedure.
An enrollee may appeal the refusal to change a health plan or primary care provider under part 9500.1453, subparts 7 and 8, a health plan's or participating provider's denial, delay, reduction, or termination of health services or a health plan's resolution of a complaint or any other ruling of a prepaid health plan by submitting a written request for a hearing as provided in Minnesota Statutes, section 256.045, subdivision 3. The enrollee may request an expedited hearing by contacting the appeals referee or ombudsperson. A state human services referee shall conduct a hearing on the matter and shall recommend an order to the commissioner. An enrollee is not required to exhaust the health plan's complaint system before filing a state appeal. An enrollee may request the assistance of the ombudsperson or other persons in the appeal process.
Subp. 6. Services pending state appeal or resolution of complaint.
If an enrollee files a written complaint with the health plan or appeals in writing to the state under Minnesota Statutes, section 256.045, on or before the tenth day after the decision is communicated to the enrollee by the health plan to reduce, suspend, or terminate services the enrollee had been receiving on an ongoing basis, or before the date of the proposed action, whichever is later, and the treating plan physician or another plan physician has ordered the services at the present level and is authorized by the contract with the health plan to order the services, the health plan must continue to provide services at a level equal to the level ordered by the plan physician until written resolution of the complaint is made by the health plan or a decision on the appeal is made by the human services referee. If the resolution is adverse, in whole or part, to the enrollee, the enrollee must be notified of the right to a state appeal. If the enrollee appeals a health plan's written resolution within ten days after it is issued, or before the date of the proposed action, whichever is later, services must be continued pending a decision by the human services referee. A resolution is made or issued on the date it is mailed or the date postmarked, whichever is later. For the purposes of this subpart, "plan physician," where appropriate, includes a plan dentist, mental health professional, chiropractor, or osteopathic physician, nurse practitioner, or nurse midwife.
Subp. 7. State ombudsperson.
The commissioner shall designate a state ombudsperson to help enrollees resolve health plan service related problems. Upon an enrollee's request, the ombudsperson shall investigate the enrollee's case and when appropriate attempt to resolve the problem in an informal manner by serving as an intermediary between the enrollee and the health plan. If the enrollee requests appeal information, or if the ombudsperson believes that an informal resolution is not feasible or is unable to obtain a resolution of the problem, the ombudsperson shall explain to the enrollee what his or her complaint and appeal options are, how to file a complaint or appeal, how the complaint or appeal process works and assist the enrollee in presenting the enrollee's case to the appeals referee, when requested. The ombudsperson must be available to help the enrollee file a written complaint or appeal request. The ombudsperson must notify the appropriate health plan of a state appeal within three working days after the state appeal is filed.
Subp. 8. Record keeping and reporting requirements.
The health plan must maintain a record of all written complaints from enrollees, actions taken in response to those complaints, and the final disposition of the complaints. The health plan must report this information to the commissioner on a semiannual basis.
History
- Statutory Authority: MS s 256.045; 256B.031; 256B.69
- History: 11 SR 1107; 16 SR 1086; 32 SR 565; L 2016 c 119 s 7
Minn. R. 9500.1464 Surveillance and Utilization Review
The provisions of parts 9505.2160 to 9505.2245 apply to MAPDP.
History
- Statutory Authority: MS s 256B.69
- History: 11 SR 1107
Minn. R. 9500.1650 Applicability
Parts 9500.1650 to 9500.1663 govern the procedures and the standards applicable to the way in which the commissioner decides, as a party under Minnesota Statutes, section 257.60, whether to agree to a particular lump-sum settlement or compromise agreement in a paternity action under Minnesota Statutes, sections 257.51 to 257.74. Parts 9500.1650 to 9500.1663 apply equally to lump-sum settlements and compromise agreements proposed as part of a maternity suit under Minnesota Statutes, section 257.71.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957
Minn. R. 9500.1655 Definitions
Subpart 1. Scope.
For the purposes of parts 9500.1650 to 9500.1663, the following terms have the meanings given to them in this part.
Subp. 2. Admission of paternity.
"Admission of paternity" means a written acknowledgment by a male that he is the biological father of a child.
Subp. 3.
[Repealed, 32 SR 565]
Subp. 4. Alleged father.
"Alleged father" means a male alleged to be the biological father of a child.
Subp. 5. Blood test.
"Blood test" means a test using blood group identification of a mother, child, and alleged father that is used to predict the probability or exclude the possibility that the alleged father is the biological father of the child.
Subp. 6. Child.
"Child" means an individual under age 18 whose parental relationship with the alleged father is being determined and whose legal rights and privileges are at issue.
Subp. 7. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designated representative.
Subp. 8. Compromise agreement.
"Compromise agreement" has the meaning given it by Minnesota Statutes, section 257.64, subdivision 1, clause (b).
Subp. 9. Costs.
"Costs" has the meaning given it under Minnesota Statutes, section 257.69.
Subp. 10. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 11. Depository.
"Depository" means a person or organization entrusted to safekeep a father's or an alleged father's lump-sum settlement or compromise agreement payments and to make periodic payments of the money on behalf of the child.
Subp. 12. Guardian ad litem.
"Guardian ad litem" means the person designated by the court to represent the interests of a child in a paternity suit, according to Minnesota Statutes, section 257.60.
Subp. 13. Income.
"Income" has the meaning given it under Minnesota Statutes 2004, section 518.54, subdivision 6.
Subp. 14. Interest rate.
"Interest rate" means the rate of interest used to calculate the present value of periodic payments a father is required to pay and is equal to the current market rate of interest on a United States Treasury obligation using as its maturity date the child's 18th birthday.
Subp. 15. Liability for past support.
"Liability for past support" means the financial obligation of the noncustodial parent to reimburse the local child support enforcement agency for all or a portion of past expenses furnished on behalf of a child under Minnesota Statutes, sections 257.66 and 257.67.
Subp. 16. Local IV-D agency.
"Local IV-D agency" means the county or multicounty agency that is authorized under Minnesota Statutes, section 393.07, to administer the child support enforcement program under the requirements of title IV-D of the Social Security Act, United States Code, title 42, sections 651 to 658, 660, 664, 666, 667, 1302, 1396(a)(25), 1396b(d)(2), 1396b(o), 1396b(p), and 1396(k).
Subp. 17. Lump-sum settlement.
"Lump-sum settlement" means a single payment to satisfy the remaining obligations of a noncustodial parent for support of the parent's minor child.
Subp. 18. Medical support.
"Medical support" has the meaning given it under Minnesota Statutes, section 518A.41.
Subp. 19. Mother.
"Mother" means a woman who was not married to her child's father when the child was born or when the child was conceived.
Subp. 20. Office of Child Support Enforcement.
"Office of Child Support Enforcement" means the office within the department that administers the child support enforcement program for the purposes of locating absent parents, establishing paternity, and establishing and enforcing orders for support under the requirements of title IV-D of the Social Security Act, United States Code, title 42, sections 651 to 658, 660, 664, 666, 667, 1302, 1396(a)(25), 1396b(d)(2), 1396b(o), 1396b(p), and 1396(k).
Subp. 21. Party.
"Party" means a person as defined in Minnesota Statutes, sections 257.57 and 257.60, who is involved in a paternity suit.
Subp. 22. Paternity suit.
"Paternity suit" means a legal action brought to establish that a man is the biological father of a child and has legally enforceable duties and responsibilities in regard to that child.
Subp. 23. Periodic payments.
"Periodic payments" means payments of support on a schedule established by the court under Minnesota Statutes, section 518A.44.
Subp. 24. Present value.
"Present value" means the current monetary worth of future periodic payments. The formula used to determine present value is An = V 1-(1+i)-n/i where:
"An" means present value of the periodic payments,
"V" means value of the periodic payments,
"n" means number of periodic payments, and
"i" means interest rate.
Subp. 24a. Public assistance.
"Public assistance" has the meaning given in Minnesota Statutes, section 256.741, subdivision 1, paragraph (b).
Subp. 25. Reimbursement.
"Reimbursement" means payment of a sum for public funds expended for the care and support of a child under Minnesota Statutes, sections 256.87; 257.66, subdivisions 3 and 4; 257.69; and 393.07, subdivision 9.
Subp. 26. Support.
"Support" has the meaning given to "support money" under Minnesota Statutes, section 518A.26, subdivision 20.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957; L 2005 c 164 s 29; L 2005 1Sp7 s 28; L 2006 c 280 s 46; 32 SR 565
Minn. R. 9500.1656 Consent by Commissioner to a Compromise Agreement
The commissioner shall not consent to a compromise agreement.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957
Minn. R. 9500.1657 Commissioner's Consent to a Lump-Sum Settlement
The commissioner shall consider each proposed lump-sum settlement that is submitted to the commissioner. If a submitted proposed lump-sum settlement does not comply with parts 9500.1650 to 9500.1663, the commissioner shall not consent to the proposed lump-sum settlement.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957
Minn. R. 9500.1658 Standards Used by Commissioner to Determine Whether to Consent to a Proposed Lump-Sum Settlement
Subpart 1. Standards.
The commissioner shall consent to a proposed lump-sum settlement only if the conditions of subparts 1a to 6 are met.
Subp. 1a. Parties.
Under Minnesota Statutes, section 257.60, when the child is a minor, the child and the commissioner must be made parties to the action. The court must appoint a general guardian or a guardian ad litem to represent the child.
Subp. 2. Admission of paternity.
The alleged father must admit paternity and either waive blood tests or the results of blood tests indicate a likelihood of more than 92 percent that the alleged father is the biological father of the child.
Subp. 3. Comparison of proposed lump-sum settlement to present value of periodic payments.
The proposed lump-sum settlement must be equal to or greater than the present value of periodic payments.
Subp. 4. Liability for past support and costs.
A provision must be made for a partial or full reimbursement consisting of the alleged father's liability for past support and costs. The alleged father's liability for past support and costs includes:
A. all or a proportion of the amount of assistance furnished the child during the two years immediately preceding the start of the paternity action under Minnesota Statutes, section 257.66, subdivision 4;
B. expenses of the mother's pregnancy and confinement under Minnesota Statutes, section 257.66, subdivision 3; and
C. all or a proportion of costs and fees detailed under Minnesota Statutes, section 257.69, subdivision 2. If a reimbursement is to be made through payments to the local IV-D agency, provisions for income withholding shall be included in the proposed lump-sum settlement agreement under Minnesota Statutes, section 518A.53.
Subp. 5. Protection over lump-sum settlement amount.
A plan to invest the lump-sum settlement to meet the child's future needs and to prevent rapid depletion of the lump-sum settlement must be made part of the lump-sum settlement. The plan to invest the lump-sum settlement must include:
A. an agreement to deposit the lump-sum settlement amount in an interest bearing account with a rate of interest based on a United States Treasury obligation that matures on the date of the child's 18th birthday;
B. provisions for making periodic payments to the child until the child is 18 years of age;
C. provisions for making the periodic payments under item B to the public agency, if the child receives public assistance or becomes eligible to receive public assistance and rights to support are assigned under Minnesota Statutes, section 256.741;
D. the name of the depository that will hold and disburse the lump-sum settlement under this subpart;
E. the name of the person or agency designated to make decisions on managing the lump-sum settlement account; and
F. the amounts charged by the depository for the costs of administering the lump-sum settlement account.
Subp. 6. Medical benefits.
The lump-sum settlement must provide for maintenance of health and dental insurance for the child under Minnesota Statutes, section 518A.41.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957; L 1997 c 203 art 6 s 92; L 2005 c 164 s 29; L 2005 1Sp7 s 28; L 2006 c 280 s 46; 32 SR 565
Minn. R. 9500.1659 Contents of Proposed Lump-Sum Settlement Agreement
A proposed lump-sum settlement must include:
A. the names and addresses of the parties to the paternity suit;
B. a statement indicating whether there has been an admission of paternity;
C. the amount of reimbursement agreed to be paid to the local IV-D agency and the method by which payments will be made as required under part 9500.1658, subpart 4;
D. the amount of the proposed lump-sum settlement;
E. a plan for distributing the lump-sum settlement amount on behalf of the child under part 9500.1658, subpart 5;
F. a written statement showing compliance with part 9500.1658, subpart 6, by the responsible parent; and
G. a signature line for each of the parties and the guardian ad litem.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957
Minn. R. 9500.1660 Documents That Must Accompany a Proposed Lump-Sum Settlement Agreement
The documents in items A to G must accompany the proposed lump-sum settlement submitted to the commissioner:
A. the statement of blood test results or a statement that blood tests were waived by the alleged father;
B. a statement of the reasons a lump-sum settlement is proposed rather than periodic payments;
C. a copy of the alleged father's affidavit of earnings, income, and resources, including real and personal property;
D. the mathematical calculation used to make the computation required under part 9500.1658, subpart 3;
E. an itemization of amounts previously expended by each public agency as support on behalf of the child, including dates and amounts of public assistance expended, pregnancy and confinement expenses, costs of blood tests, filing fees, service of process fees, and county attorney's fees;
F. a written statement showing how the plan for reimbursement of the alleged father's liability for support and costs owed to the local IV-D agency was derived; and
G. a written, signed statement from the guardian ad litem that indicates how the proposed lump-sum settlement is in the best interest of the child.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957; 32 SR 565
Minn. R. 9500.1661 Time for Submission of Proposal
The proposed lump-sum settlement agreement under part 9500.1659 and documents required under part 9500.1660 must be submitted to the Office of Child Support Enforcement for review at least 30 days before the date scheduled for the court hearing on the proposed lump-sum settlement. If the 30-day period is not complied with, parties must not presume that the commissioner has consented to the proposed lump-sum settlement unless a written statement to that effect is made by the commissioner and submitted to the parties.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957
Minn. R. 9500.1662 Review Process
On receipt of a proposed lump-sum settlement, the commissioner shall review the submitted proposal and documents for compliance with parts 9500.1650 to 9500.1663. If the commissioner consents to the proposal, the commissioner will sign the proposal and return it to the submitting party. If the commissioner does not consent to the proposal, the commissioner will send a letter to the submitting party indicating the reasons for not consenting to the proposal. The commissioner will send copies of either response to the court of jurisdiction. The commissioner will also send copies of either response to the other parties and guardian ad litem if addresses for those parties are provided by the submitting party.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957
Minn. R. 9500.1663 Notification of Final Disposition
If the lump-sum settlement or compromise agreement is approved by the court, a copy of the final order must be provided to the commissioner within 30 days of the date of the court order. If the submitted agreement is not approved by the court, the commissioner must be notified in writing of any other disposition made regarding the paternity suit. The parties other than the commissioner must agree between themselves as to the party responsible for notification to the commissioner in accordance with this part.
History
- Statutory Authority: MS s 257.60
- History: 11 SR 957
Minn. R. 9500.1800 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.1805 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.1810 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.1811 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.1812 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.1815 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.1817 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.1820 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.1821 [Repealed, L 2000 c 458 s 17]
[Repealed, L 2000 c 458 s 17]
Minn. R. 9500.2000 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2020 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2060 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2100 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2140 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2180 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2220 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2260 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2300 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2340 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2380 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2420 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2440 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2480 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2500 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2520 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2560 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2580 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2600 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2620 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2640 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2680 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2700 Repealed by subpart
Subpart 1.
[Repealed, L 1999 c 159 s 154]
Subp. 2.
[Repealed, L 1999 c 159 s 154]
Subp. 3.
[Repealed, L 1999 c 159 s 154]
Subp. 4.
[Repealed, L 1999 c 159 s 154]
Subp. 5.
[Repealed, L 1999 c 159 s 154]
Subp. 6.
[Repealed, L 1999 c 159 s 154]
Subp. 7.
[Repealed, L 1999 c 159 s 154]
Subp. 8.
[Repealed, L 1999 c 159 s 154]
Subp. 9.
[Repealed, L 1999 c 159 s 154]
Subp. 10.
[Repealed, L 1999 c 159 s 154]
Subp. 11.
[Repealed, L 1999 c 159 s 154]
Subp. 12.
[Repealed, L 1999 c 159 s 154]
Subp. 13.
[Repealed, 12 SR 2787]
Subp. 14.
[Repealed, 12 SR 2787]
Subp. 15.
[Repealed, 12 SR 2787]
Subp. 16.
[Repealed, 12 SR 2787]
Subp. 17.
[Repealed, 12 SR 2787]
Subp. 18.
[Repealed, 12 SR 2787]
Subp. 19.
[Repealed, 12 SR 2787]
Minn. R. 9500.2720 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2722 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2724 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2726 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2728 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2730 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2740 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2760 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2780 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2800 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2820 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2860 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.2880 [Repealed, L 1999 c 159 s 154]
[Repealed, L 1999 c 159 s 154]
Minn. R. 9500.4000 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4010 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4020 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4030 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4040 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4050 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4060 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4070 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4080 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4090 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4100 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4110 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4120 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4130 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4140 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4150 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4160 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4170 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4180 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4190 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4200 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4210 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4220 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4230 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4240 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4250 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4260 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4270 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4280 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4290 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4300 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4310 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4320 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4330 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4340 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9500.4350 [Expired, 26 SR 1302]
[Expired, 26 SR 1302]
Minn. R. 9500.4355 [Expired, 26 SR 1302]
[Expired, 26 SR 1302]
Minn. R. 9500.4360 [Expired, 26 SR 1302]
[Expired, 26 SR 1302]
Minn. R. 9500.4365 [Expired, 26 SR 1302]
[Expired, 26 SR 1302]
Minn. R. 9500.4370 [Expired, 26 SR 1302]
[Expired, 26 SR 1302]
Minn. R. 9500.4375 [Expired, 26 SR 1302]
[Expired, 26 SR 1302]
Minn. R. 9500.4380 [Expired, 26 SR 1302]
[Expired, 26 SR 1302]
Minn. R. 9500.4385 [Expired, 26 SR 1302]
[Expired, 26 SR 1302]
Chapter 9502 LICENSING OF DAY CARE FACILITIES
Minn. R. 9502.0300 Repealer and Effective Date
Subpart 1. Repealer.
Minnesota Rules, parts 9545.0310, 9545.0320, 9545.0330, 9545.0340, 9545.0350, 9545.0360, 9545.0370, 9545.0380, 9545.0390, 9545.0400, 9545.0410, 9545.0420, 9545.0430, 9545.0440, and 9545.0450, are repealed, except for providers who are licensed under those parts. As to those providers, parts 9545.0310, 9545.0320, 9545.0330, 9545.0340, 9545.0350, 9545.0360, 9545.0370, 9545.0380, 9545.0390, 9545.0400, 9545.0410, 9545.0420, 9545.0430, 9545.0440, and 9545.0450 are repealed March 25, 1986.
Subp. 2. Effective date.
Parts 9502.0315 to 9502.0445 take effect April 1, 1985, except for providers who are licensed on April 1, 1985 under parts 9545.0310 to 9545.0440. As to those providers, parts 9502.0315 to 9502.0445 take effect October 1, 1985, or on the first date the provider's license is renewed after March 25, 1985, whichever is later, except that parts 9502.0365 and 9502.0367 shall be construed not to require the exclusion from the day care facility of any child who is receiving care on March 25, 1985.
Any provider who is licensed under parts 9545.0310 to 9545.0440 April 1, 1985, and who is not providing care in a residence as defined by part 9502.0315, subpart 27, may be licensed under parts 9502.0315 to 9502.0445 until the provider ceases to give care in that facility or obtains a license to operate a day care center.
History
- Statutory Authority: MS s 245A.09
- History: 9 SR 2106
Minn. R. 9502.0315 Definitions
Subpart 1. Applicability.
As used in parts 9502.0315 to 9502.0445, the following terms have the meanings given them.
Subp. 2. Adult.
"Adult" means a person at least 18 years of age.
Subp. 3. Agency.
"Agency" means the county or multicounty social or human service agency governed by the county board or multicounty human services board.
Subp. 4. Applicant.
"Applicant" means the person seeking a license to be the primary provider of day care in the residence.
Subp. 5. Building official.
"Building official" means the person appointed in accordance with Minnesota Statutes, section 326B.133, to administer the State Building Code, or the building official's authorized representative.
Subp. 6. Caregiver.
"Caregiver" means the provider, substitute, helper, or another adult giving care in the residence.
Subp. 7. Child.
"Child" means a person ten years of age or younger.
Subp. 8. Commissioner.
"Commissioner" means the Minnesota commissioner of the Department of Human Services or the commissioner's authorized representative.
Subp. 9. Day care.
"Day care" means the care of a child in a residence outside the child's own home for gain or otherwise, on a regular basis, for any part of a 24 hour day.
Subp. 10. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 11. Family day care.
"Family day care" means day care for no more than ten children at one time of which no more than six are under school age. The licensed capacity must include all children of any caregiver when the children are present in the residence.
Subp. 12. Fire marshal.
"Fire marshal" means the person designated by Minnesota Statutes, section 299F.011 to administer and enforce the State Fire Code, or the fire marshal's authorized representative.
Subp. 13. Group family day care.
"Group family day care" means day care for no more than 14 children at any one time. The total number of children includes all children of any caregiver when the children are present in the residence.
Subp. 14. Helper.
"Helper" means a person at least 13 years of age and less than 18 years of age who assists the provider with the care of children.
Subp. 15. Agent of a community health board.
"Agent of a community health board" as authorized under Minnesota Statutes, section 145A.04, means the designated representative of the state or community health board authorized to enforce state and local health codes.
Subp. 16. Infant.
"Infant" means a child who is at least six weeks of age but less than 12 months of age.
Subp. 17. License.
"License" means a certificate issued by the commissioner authorizing the provider to give specified services for a specified period of time in accordance with the terms in parts 9502.0315 to 9502.0445; Minnesota Statutes, chapter 245A; and the rules of the department.
Subp. 18. Licensed capacity.
"Licensed capacity" means the total number of children ten years of age or younger permitted at any one time in the residence. The licensed capacity includes all children of any caregiver when the children are present in the residence.
Subp. 19. Medicine.
"Medicine" means a prescription or nonprescription substance taken internally or applied externally to prevent or cure disease, heal, or relieve pain.
Subp. 19a. Mental illness.
"Mental illness" means the inability to interpret reality realistically and the impaired functioning in primary aspects of daily living, such as personal relations, living arrangements, work, and recreation; which is listed in the International Classification of Diseases (ICD-9-CM) Ninth Revision (1980), code range 290.0-299.9, or the corresponding code in the American Psychiatric Association's Diagnostic and Statistical Manual of Mental Disorders (DSM-III) Third Edition (1980), Axes I, II, or III. These publications are incorporated by reference and are not subject to frequent change. They are available in the State Law Library.
Subp. 19b. State Fire Code.
"State Fire Code" means those codes and regulations adopted by the state fire marshal in accordance with Minnesota Statutes, section 299F.011 and contained in chapter 7511.
Subp. 20. Newborn.
"Newborn" means a child between birth and six weeks of age.
Subp. 21. Parent.
"Parent" means a person who has the legal responsibility for a child such as the child's mother, father, or legally appointed guardian.
Subp. 22. Preschooler.
"Preschooler" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 19, paragraph (e).
Subp. 23.
[Repealed, 10 SR 2617]
Subp. 24. Provider.
"Provider" means the license holder and primary caregiver.
Subp. 25. Related.
"Related" means any of the following relationships by marriage, blood, or adoption: parent, grandparent, brother, sister, stepparent, stepsister, stepbrother, uncle, aunt, child, niece, nephew. Related also includes a legally appointed guardian.
Subp. 26. Regularly or regular basis.
"Regularly" or "regular basis" means a cumulative total of more than 30 days within any 12 month period.
Subp. 27. Residence.
"Residence" means the dwelling unit, as defined by section 405 of the State Building Code, in which day care is provided and which is occupied as a home.
Subp. 28. School age.
"School age" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 19, paragraph (f).
Subp. 28a. State Building Code.
"State Building Code" means those codes and regulations adopted by the commissioner of administration in accordance with Minnesota Statutes, section 326B.101 and contained in chapter 1300.
Subp. 29. Substitute.
"Substitute" means an adult at least 18 years of age who assumes the responsibility of the provider as specified in part 9502.0365, subpart 5.
Subp. 29a. Supervision.
"Supervision" means a caregiver being within sight or hearing of an infant, toddler, or preschooler at all times so that the caregiver is capable of intervening to protect the health and safety of the child. For the school age child, it means a caregiver being available for assistance and care so that the child's health and safety is protected.
Subp. 30. Toddler.
"Toddler" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 19, paragraph (d).
Subp. 31. Variance.
"Variance" means written permission by the commissioner for a provider or applicant to depart from the provisions of parts 9502.0315 to 9502.0445.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617; L 1987 c 309 s 24; c 333 s 22; 30 SR 585; L 2007 c 140 art 4 s 61; art 13 s 4; 32 SR 10; L 2015 c 21 art 1 s 109
Minn. R. 9502.0325 Licensing of Facilities for Children Family Day Care and Group Family Day Care Homes
Subpart 1. Purpose.
The purpose of parts 9502.0315 to 9502.0445 is to establish procedures and standards for licensing family day care and group family day care homes to ensure that minimum levels of care and service are given and the protection, proper care, health, safety, and development of the children are assured.
Subp. 2. Applicability.
Parts 9502.0315 to 9502.0445 as authorized by Minnesota Statutes, chapter 245A, govern the licensing of family day care homes and group family day care homes.
Subp. 3. Exclusion from licensure.
Under Minnesota Statutes, section 245A.03, the following day care situations are excluded from licensure under parts 9502.0315 to 9502.0445:
A. day care provided by a relative to only related children; or
B. day care provided to children from a single, unrelated family, for any length of time; or
C. day care provided for a cumulative total of less than 30 days in any 12-month period; or
D. the exclusions contained in items A and B are mutually exclusive.
History
- Statutory Authority: MS s 245A.09
- History: 9 SR 2106; L 1987 c 333 s 22; 13 SR 1448
Minn. R. 9502.0335 Licensing Process
Subpart 1. License application.
A license to operate a family or group family day care residence must be obtained from the department.
A. Application for a license must be made on the application form issued by the department. The application must be made in the county where the applicant resides.
B. The applicant shall be the person who will be the provider of care in the residence, present during the hours of operation, and who shall be legally responsible for the operation of the residence.
C. An application for licensure is complete when the applicant completes, signs, and submits all department forms and documentation needed for licensure to the agency and the agency receives all inspection, zoning, evaluation, and investigative reports, documentation, and information required to verify compliance with parts 9502.0315 to 9502.0445 and Minnesota Statutes.
Subp. 2. Licensing study.
The applicant shall give the agency access to the residence for a licensing study to determine compliance with parts 9502.0315 to 9502.0445.
A. If, in the judgment of the agency representative, a potentially hazardous condition may be present, due to a violation of parts 9502.0315 to 9502.0445, the applicant shall obtain an inspection from a fire marshal, building official, or agent of a community health board as authorized under Minnesota Statutes, section 145A.04 to verify the absence of hazard and report to the agency.
B. The residence must comply with any applicable local ordinances. If the commissioner or the agency has reasonable cause to believe a hazardous condition may be present and requests an inspection by a fire marshal, building official, or authorized agent, then any condition cited by a fire marshal, building official, or authorized agent as hazardous and creating an immediate danger of fire, or threat to human life and safety, must be corrected or a variance approved in accordance with subparts 8, 8a, and 8b prior to issuance of a license.
C. An initial inspection of the residence by a fire marshal to determine compliance with the State Fire Code and compliance with orders issued are conditions of licensure for all residences with freestanding solid fuel heating appliances; manufactured (mobile) homes; new applicants for licensure with a licensed capacity of more than ten; day care residences which use the basement for child care; and residences in mixed or multiple occupancy buildings. "Multiple occupancy building" means a structure with two or more residential dwelling units such as a duplex, apartment building, or townhome. "Mixed occupancy building" means a residence in a structure that contains nonresidential occupancies or an attached garage.
D. The commissioner or agency may require, prior to licensure, or anytime during the licensed term of day care, a physical, mental illness, or chemical dependency or abuse evaluation of any caregiver or person living in the residence or present during the hours children are in care if the agency has reasonable cause to believe that any of the disqualification factors in subpart 6, item A, exist, or that the provider is not physically able to care for the children. These evaluations, conducted by a licensed physician, psychiatrist, psychologist, consulting psychologist, or certified chemical dependency practitioner or counselor may be used to verify physical or mental illness, chemical dependency or chemical abuse, or behavior that would reflect on the ability of the provider to give day care.
Subp. 3.
[Repealed, 15 SR 2105]
Subp. 4. Period of licensure; nontransfer.
A license must be issued by the department when the provider fully complies with parts 9502.0315 to 9502.0445. The period of licensure may be up to two years. The license must not be transferred to another provider.
Subp. 5. Initial license.
An applicant for initial licensure may be granted a license by the department for up to two years if all laws and rules cannot be met immediately, the deviations from parts 9502.0315 to 9502.0445 do not threaten the health, rights, or safety of the children, and which will be corrected within the time specified by the commissioner but not to exceed two years. Failure to correct deviations within the stated time shall be cause for revocation, suspension, or nonrenewal.
Subp. 6. Disqualification factors.
An applicant or provider shall not be issued a license or the license shall be revoked, not renewed, or suspended if the applicant, provider, or any other person living in the day care residence or present during the hours children are in care, or working with children:
A. Abuses prescription drugs or uses controlled substances as specified in Minnesota Statutes, chapter 152, or alcohol, to the extent that the use or abuse has or may have a negative effect on the ability of the provider to give care or is apparent during the hours children are in care. Caregivers who have abused prescription drugs or have been dependent on controlled substances as specified in Minnesota Statutes, chapter 152, or alcohol, such that the use, abuse, or dependency has had a negative effect on the ability to give care, was apparent during the hours children are in care, or required treatment or therapy, must have 12 months of verified abstinence before licensure.
B. [Repealed, L 1991 c 38 s 2]
C. Refuses to give written consent for the disclosure of criminal history records as specified in Minnesota Statutes, section 245C.09.
D. Has a disqualification under Minnesota Statutes, section 245C.15, that is not set aside under Minnesota Statutes, section 245C.22, or for which a variance has not been granted under Minnesota Statutes, section 245C.30.
E. Has had a child placed in foster care within the past 12 months and the agency determines the reasons for placement reflect on the ability of the provider to give care. A license may not be denied if the primary reason for the placement was due to a physical illness of the parent, developmental disability of the child, a disability of the child, or for the temporary care of an infant being relinquished for adoption.
F. Has had a child placed in residential treatment within the past 12 months for emotional disturbance or antisocial behavior and the agency determines that the reasons for the placement reflect on the ability of the provider to give care.
Subp. 7.
[Repealed, 15 SR 2043]
Subp. 8. Variance standard.
An applicant or provider may request a variance from compliance with parts 9502.0315 to 9502.0445. When reviewing a variance request of parts 9502.0315 and 9502.0445, the department shall assess whether alternative methods are identified by the applicant or provider to ensure the health, safety, and protection of children in care. A variance may be granted only if:
A. the applicant complies with all applicable laws, ordinances, and regulations;
B. specific equivalent measures are identified by the applicant or provider to ensure the health, safety, and protection of the children in care;
C. any variance to the safety provisions in part 9502.0425, subparts 4, 5, 6, 7, 12, 15, 16, 17, and 18 which relate to the State Fire Code is approved by a fire marshal and alternative measures are identified to ensure the safety of children in care;
D. any variance of the provisions in part 9502.0435 relating to sanitation and health and part 9502.0445 on water, food, and nutrition are approved by an authorized agent and alternative measures are identified to ensure the health of children in care;
E. any variance of the provisions in part 9502.0425 relating to subparts 10, stairways; 11, decks; and 13, sewage disposal which relate to the State Building Code, are approved by a building official and alternative measures are identified to ensure the health and safety of children in care; and
F. any variance to subpart 6, item F must have clear and convincing evidence presented by the applicant or provider that no threat or harm whatsoever will result to the children in care due to the granting of the variance. The department shall consider the nature of the crime committed and the amount of time which has elapsed without a repeat of the crime.
Subp. 8a. Variance procedure.
Request for a variance must comply with and be handled according to the following procedures.
A. An applicant or provider must submit to the agency a written request for a variance. The request must include the following information:
B. An applicant or provider must submit to the agency written approval from a fire marshal of a variance request and the alternative measures identified to ensure the safety of children in care when a variance of the fire safety provisions in part 9502.0425 on physical environment is requested. These are part 9502.0425, subpart 4, means of escape; subpart 5, occupancy separations; subpart 6, vertical separations; subpart 7, heating and venting systems; subpart 12, locks and latches; subpart 15, interior walls and ceilings; subpart 16, extinguishers; subpart 17, smoke detection systems; and subpart 18, electrical services.
C. An applicant or provider must submit to the agency written approval from an authorized agent of a variance request and the alternative measures identified to ensure the safety of children in care when a variance of the health provisions in parts 9502.0435 on sanitation and health, and 9502.0445 on water, food, and nutrition is requested.
D. An applicant or provider must submit to the agency written approval from a building official of a variance request and alternative measures identified to ensure the health and safety of children in care when a variance is requested of the standards contained in part 9502.0425 relating to subparts 10, stairways; 11, decks; and 13, sewage disposal.
Subp. 8b.
[Repealed, 30 SR 585]
Subp. 9. License terms.
The license must indicate:
A. the number and age groupings of children who may receive care at any one time;
B. the expiration date of the license and location of the residence;
C. the name and address of the provider; and
D. that the provider is licensed under parts 9502.0315 to 9502.0445 of Minnesota Rules.
Subp. 10. Posting license.
The provider shall post the license in the residence in a prominent place.
Subp. 11. Change in license terms.
The following shall apply to changes in the terms of a license.
A. A new department application form must be submitted by the provider and a full licensing study as specified in part 9502.0335, subpart 2, must be completed when the provider wants to move the day care operation to a new residence or the provider wants to change to group family day care from family day care.
B. A new department application form indicating the changes in the ages and numbers of children in care must be completed when the provider wants to change to family day care from group family day care.
C. A background study must be initiated and completed as required under Minnesota Statutes, chapter 245C.
Subp. 12. Number of licenses.
No provider shall be issued a license to operate more than one day care residence.
Subp. 13. Access to residence.
The provider shall give authorized representatives of the commissioner or agency access to the residence during the hours of operation to determine whether the residence complies with the standards of parts 9502.0315 to 9502.0445. Access shall include:
A. the residence to be occupied by children in care;
B. any adjoining land or buildings owned or operated by the applicant or provider in conjunction with the provision of day care and designed for use by the children in care;
C. noninterference in interviewing all caregivers and household members present in the residence on a regular basis and present during the hours of operation; and
D. the right to view and photocopy the records and documents specified in part 9502.0405.
Subp. 14.
[Repealed, 15 SR 2105]
Subp. 15. Return of license to commissioner.
When a provider stops giving care, or if a license is revoked, suspended, or not renewed, the provider shall return the license to the commissioner, stop all advertising and refrain from providing care to children in excess of the exclusions specified in part 9502.0325, subpart 3.
Subp. 16.
[Repealed, 15 SR 2105]
History
- Statutory Authority: MS s 14.386; 14.388; 245A.02; 245A.03; 245A.04; 245A.09; 245A.16; 252.28
- History: 9 SR 2106; 10 SR 2617; L 1987 c 309 s 24, c 333 s 22; 12 SR 2252; 13 SR 1448; 15 SR 2043; 15 SR 2105; L 1991 c 38 s 2; L 2001 1Sp9 art 14 s 35; L 2005 c 56 s 2; 30 SR 585; L 2015 c 21 art 1 s 109
Minn. R. 9502.0341 Negative Licensing Actions
Subpart 1.
[Repealed, 15 SR 2105]
Subp. 2. Definitions.
For the purposes of this subpart, negative licensing actions shall mean denial of application for licensure, issuance of a fine, revocation, suspension, or temporary immediate suspension of an existing license.
Subp. 3. Procedures.
In accordance with Minnesota Statutes, section 245A.06 or 245A.07, failure to comply with parts 9502.0315 to 9502.0445 or the terms of licensure is grounds for a negative licensing action. If the agency recommends a negative licensing action, the agency shall notify the department and the department shall determine if the standards in parts 9502.0315 to 9502.0445 or the terms of licensure have been violated. If the grounds are sufficient, the commissioner shall notify the applicant or provider by certified mail unless personal service is required by subpart 9. The notice must be addressed to the name and location shown on the application or license and contain a statement of, and the reasons for, the proposed action. The notice must inform the applicant or provider of the right to appeal the decision within the specified time period. The applicant or provider shall be notified of the specific appeal rights provided under chapter 245A.
Subp. 3a. Fine.
If the commissioner issues a fine, the provider must be informed of the reason for the fine and the right to a contested case hearing under Minnesota Statutes, chapter 14, and parts 1400.8505 to 1400.8612 as provided in Minnesota Statutes, section 245A.07, subdivision 3.
Subp. 4. Denial.
If the commissioner denies an application for licensure, the applicant must be informed of the reason the application was denied and the right to a contested case hearing under Minnesota Statutes, chapter 14, and parts 1400.8505 to 1400.8612 as provided in Minnesota Statutes, section 245A.05.
Subp. 5. Revocation.
If the commissioner revokes a license, the provider must be informed of the reason for the revocation and the right to a contested case hearing under Minnesota Statutes, chapter 14, and parts 1400.8505 to 1400.8612 as provided in Minnesota Statutes, section 245A.07, subdivision 3.
Subp. 6.
[Repealed, 30 SR 585]
Subp. 7.
[Repealed, 30 SR 585]
Subp. 8. Suspension.
If the commissioner suspends a license, the provider must be informed of the reason for the suspension and the right to a contested case hearing under Minnesota Statutes, chapter 14, and parts 1400.8505 to 1400.8612 as provided in Minnesota Statutes, section 245A.07, subdivision 3.
Subp. 9. Temporary immediate suspension.
If the provider's actions or failure to comply with applicable law or rule poses an imminent risk of harm to the health, safety, or rights of the children in care, the commissioner shall act immediately to temporarily suspend the license. The provider shall be informed by personal service and informed of the right to an expedited hearing under Minnesota Statutes, chapter 14, and parts 1400.8505 to 1400.8612 as provided in Minnesota Statutes, section 245A.07, subdivisions 2 and 2a.
Subp. 9a.
[Repealed, 15 SR 2105]
Subp. 10. Notice to parents of recommended action.
As soon as the county recommends revocation, suspension, a conditional license, or temporary immediate suspension action, a notice of the circumstances for the action, but not the identity of a child, other than the parent's own, shall be sent by the agency to the parents of children in care. If the provider remains in operation and exercises a right to a hearing, the provider must give a copy of the Notice of and Order for Hearing on the appeal to the parents of any child currently enrolled or seeking admission to the residence.
Subp. 11. Reapplication after revocation or denial.
A provider whose license has been revoked because of noncompliance with applicable laws or rules, shall not be granted a new license for five years following revocation. When the commissioner initiates an action to revoke a license, the provider may not voluntarily withdraw his or her license without written assurance from the provider that he or she is voluntarily accepting revocation and will not reapply for five years. An applicant whose application was denied shall not be granted a new license for two years following a denial, unless the applicant's subsequent application contains new information which constitutes a substantial change in the condition that caused the previous denial.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16; 252.28
- History: 9 SR 2106; 10 SR 2617; L 1987 c 333 s 22, c 384 art 2 s 1; 15 SR 2105; 30 SR 585
Minn. R. 9502.0345 Agency Records
Subpart 1. Agency records.
The agency shall maintain the following records for each provider:
A. A copy of the completed licensing application form signed by the applicant and the agency.
B. The physical health reports on any adult giving care in the residence on a regular basis.
C. Any written reports from the fire marshal, agent of a community health board as authorized under Minnesota Statutes, section 145A.04, or building official.
D. The agency's initial and any renewal licensing studies.
E. If the applicant has been licensed through another jurisdiction, the agency shall request and keep a reference from the licensing authority in that jurisdiction.
F. The annual relicensing evaluation by the agency of the provider. Any comments of the provider about the evaluation by the agency shall also be noted in the agency record.
G. Documentation of any variances of parts 9502.0315 to 9502.0445.
H. Arrest, conviction, or criminal history information and substantiated maltreatment information used to disqualify an individual required to have a background study under Minnesota Statutes, chapter 245C.
Subp. 2. Data privacy.
The agency, department, and the authorized agent shall have access to provider records on children in care to determine compliance with parts 9502.0315 to 9502.0445. The provider shall not disclose any records on children in care to any persons other than the parents of the child, the agency, the department, the persons required by part 9502.0375, subpart 1, and medical or public safety persons if information is necessary to protect the health and safety of the child.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617; L 1987 c 309 s 24; 30 SR 585; L 2015 c 21 art 1 s 109
Minn. R. 9502.0355 Caregiver Qualifications
Subpart 1. Age.
An applicant for family day care or group family day care shall be an adult at the time of licensure.
Subp. 2. Health.
An adult caregiver shall be physically able to care for children.
A. The applicant shall supply documentation to the agency with the license application that the applicant has had a physical examination from a licensed physician within 12 months prior to initial licensure and is physically able to care for children.
B. The applicant shall supply documentation to the agency with the license application that all adult caregivers who are assisting with care on a regular basis have had a physical examination from a licensed physician within 12 months prior to employment within the residence and are physically able to care for children.
Subp. 3. Group family day care.
A group family day care applicant shall meet all the requirements listed in subparts 1 and 2 for family day care. A group family day care applicant shall also meet the qualifications in item A, B, or C.
A. A minimum of one years' substantial compliance with parts 9502.0315 to 9502.0445 as a licensed family day care provider; or
B. A minimum of six months' substantial compliance with parts 9502.0315 to 9502.0445 as a licensed family day care provider; and
C. Certification or licensure indicating:
Subp. 3a. Accredited.
For the purposes of this part, "accredited" means a postsecondary institution or technical college recognized and listed by a regional, state, or national group approved by the department. To be approved, a group must meet the following criteria:
A. it must be capable of conducting site visits to evaluate the facilities used by the program;
B. it must be capable of evaluating the quality of the program and its faculty;
C. it must have standards which ensure that persons who complete the program have the knowledge and training to work as group family day care providers; and
D. it must not be affiliated with any individual program, postsecondary institution, or technical college.
Subp. 4. Day care insurance coverage.
A provider shall have:
A. a certificate of insurance for the residence for general liability coverage for bodily injury in the amount of at least $100,000 per person and $250,000 per occurrence; or
B. if the provider has liability coverage of lesser limits or no liability coverage, the provider shall give a written notice of the level of liability coverage to parents of all children in care prior to admission or when there is a change in the amount of insurance coverage; and
C. the provider shall maintain copies of the notice, signed by the parents to indicate they have read and understood it, in the provider's records on the residence as specified in part 9502.0405.
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617; L 1987 c 258 s 12; L 1989 c 246 s 2; L 1995 1Sp3 art 16 s 13; L 2003 c 130 s 12
Minn. R. 9502.0365 Licensed Capacity, Child/Adult Ratios, Age Distribution Restrictions
Subpart 1. Capacity limits.
Family day care and group family day care providers shall comply with part 9502.0367, which limits the total number of children and the number of preschoolers, toddlers, and infants who may be in care at any one time, and provides for the number of adults who are required to be present.
A. Providers shall be licensed for the total number of children, ten years of age or younger, who are present in the residence at any one time. The licensed capacity must include all children of any caregiver when the children are present in the residence.
B. Within the licensed capacity, the age distribution restrictions specify the maximum number of children under school age, infants, and toddlers who are in care at any one time.
Subp. 2. Specialized infant and toddler group family day care.
In specialized infant and toddler group family day care, the caregivers must be adults.
Subp. 3. Newborn care.
When a newborn is in care and only one adult caregiver is present, the newborn shall be the only child under 12 months of age and the provider shall not care for more than two other children at the same time unless another adult caregiver is also present or the newborn is the provider's own.
Subp. 4. Helpers.
A helper may be used in place of a second adult caregiver when there is no more than one infant or toddler present.
Subp. 5. Supervision and use of substitutes.
A licensed provider must be the primary provider of care in the residence. Children in care must be supervised by a caregiver. The use of a substitute caregiver must be limited to a cumulative total of not more than 30 days in any 12-month period.
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617
Minn. R. 9502.0367 Child/Adult Ratios; Age Distribution Restrictions
A. Family Day Care:
B. Specialized Infant and Toddler Family Day Care:
C. Group Family Day Care:
D. Specialized Infant and Toddler Group Family Day Care:
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617
Minn. R. 9502.0375 Reporting to Agency
Subpart 1. Abuse, neglect reporting.
All caregivers shall report any suspected physical abuse, sexual abuse, or neglect of a child to the agency or police as required by Minnesota Statutes, chapter 260E. If a caregiver has reasonable cause to believe a child has died as a result of physical or sexual abuse or neglect, the caregiver shall report this information to the county medical examiner or coroner.
Subp. 2. Other reporting.
The provider shall inform the agency:
A. within 30 days of any change in the regular membership of the household within the day care residence or the addition of an employee who will regularly be providing care;
B. immediately of any suspected case of physical or sexual abuse or neglect;
C. within 48 hours after the occurrence of a fire that requires the service of a fire department so the agency may determine continued substantial compliance with parts 9502.0315 to 9502.0445; and
D. immediately after the occurrence of any serious injury or death of a child within the day care residence. A serious injury is one that is treated by a physician.
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617
Minn. R. 9502.0385 [Repealed, L 2007, c 112, s 59]
[Repealed, L 2007, c 112, s 59]
Minn. R. 9502.0395 Behavior Guidance
Subpart 1. Methods.
Caregivers shall give each child guidance which helps the child acquire a positive self-concept, self-control, and teaches acceptable behavior.
A. The provider shall discuss methods of behavior guidance with parents at the time of admission and the parent's standards shall be considered by the provider within the context of this part when guiding the behavior of a child.
B. Behavior guidance used by caregivers must be constructive, positive, and suited to the age of the child. Methods of intervention, guidance, and redirection must be used.
Subp. 2. Standards.
The following shall apply to all caregivers when guiding behavior in children.
A. No child shall be subject to corporal punishment or emotional abuse. "Corporal punishment" means the nonaccidental infliction of physical pain on a child by a caregiver. Corporal punishment includes, but is not limited to, rough handling, shoving, hair pulling, ear pulling, shaking, slapping, kicking, biting, pinching, hitting, and spanking. "Emotional abuse" means the infliction of verbal or psychological abuse on a child by a caregiver. Emotional abuse includes, but is not limited to, name calling, ostracism, shaming, derogatory remarks about the child or child's family, and threats which threaten, humiliate, or frighten the child.
B. Food, light, warmth, clothing, and medical care shall not be withheld from the child.
C. Discipline and punishment shall not be delegated to another child.
D. The separation of a child from a group to guide behavior must be appropriate to the age of the child and circumstances requiring the separation.
E. An infant shall not be separated from the group for disciplinary reasons.
F. A child shall not be separated from the group for a period longer than ten minutes.
G. A child separated from the group must be placed in an area or separate room that is well-lighted, free from hazards, ventilated, and open to the view of caregivers.
H. No child shall be placed in a locked room to separate the child from the group.
Subp. 3. Toilet training.
If toilet training is undertaken, the provider and parent shall cooperatively develop a plan for the timing and method of training.
A. No child shall be punished for toileting accidents.
B. A child shall be offered opportunity for toileting.
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617
Minn. R. 9502.0405 Admissions; Provider Records; Reporting
Subpart 1. Cooperating with parents.
When admitting a child to day care, the provider and parents shall discuss child rearing, sleeping, feeding, and behavior guidance practices essential for the care of the child.
Subp. 2. Rule summary for parents.
A descriptive summary of parts 9502.0315 to 9502.0445 shall be distributed to the parent by the provider at the time a child is admitted to care. The summary shall be provided by the department to the agency for distribution to the provider. The summary shall be written in language that is understandable to the general public and:
A. state that parts 9502.0315 to 9502.0445 govern the licensing of day care residences;
B. specify the rule part headings contained in parts 9502.0315 to 9502.0445; and
C. state that a complete copy of parts 9502.0315 to 9502.0445 may be seen at the day care residence, the agency, department, or State Law Library, or purchased from the Print Communications Division, Department of Administration, State of Minnesota, 117 University Avenue, Saint Paul, Minnesota 55155.
Subp. 3. Provider policies.
The provider shall have the following written information available for discussion with parents or the agency:
A. the ages and numbers of children in care in the residence;
B. the hours and days of operation;
C. meals and snacks to be served;
D. labeling requirements for food brought from the child's home;
E. sleeping and rest arrangements;
F. nondiscrimination practices to comply with subpart 6;
G. policies for the care of ill children, disease notification procedures, immunizations, and medicine permission policies;
H. emergency, fire, and storm plans and the monthly fire drill log;
I. seat belt and transportation plans and field trip and transportation permission requirements;
J. fees;
K. termination and notice procedures;
L. plans for a helper and substitute for emergencies, vacations, or holidays;
M. the presence of pets in the residence;
N. a complete copy of parts 9502.0315 to 9502.0445;
O. insurance coverage; and
P. whether or not smoking is permitted in the residence during the hours children are in care.
Subp. 4. Records for each child.
The provider shall obtain the information required by items A to C from parents prior to admission of a child. The provider shall keep this information up-to-date and on file for each child.
A. The signed and completed admission and arrangements form of the department must be on file in the provider's home and contain the following information:
B. Special instructions from the parent shall be obtained in writing and followed about toilet training, eating, sleeping or napping, allergies, and any health problems.
C. Immunization records must be kept in accordance with Minnesota Statutes, section 121A.15. The provider shall request, update, and keep on file the dates of immunizations received by a child in regular attendance at the residence as follows:
D. Signed written consent must be obtained in advance from the parent so the provider can obtain emergency medical care or treatment. The consent may be used if the parent cannot be reached or is delayed in arriving.
E. Written permission to transport children must be obtained from parents if the provider will be transporting a child.
F. A provider shall release a child from care only to a parent or a person authorized by the parent.
Subp. 5. Children with disabilities.
For children with disabilities requiring special therapy, program, or behavior guidance, the parents, physician, or therapist shall provide and the provider shall follow written instructions for any special needs. "Child with a disability" means a child who has been determined by a physician, a school district multidisciplinary team, or other person licensed to identify disabling conditions, to have a hearing, mental, neurological, developmental, serious emotional, social, learning, speech or language, physical, or visual impairment.
Subp. 6. Nondiscrimination.
No caregiver shall discriminate in relation to admissions on the basis of race, creed, color, national origin, religion, or sex.
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617; L 1998 c 397 art 11 s 3; L 2005 c 56 s 2
Minn. R. 9502.0415 Activities and Equipment
Subpart 1. General activities.
Day care activities must provide for the physical, intellectual, emotional, and social development of the child. The environment must facilitate the implementation of the activities. Activities must:
A. be scheduled indoors and outdoors, weather permitting;
B. be appropriate to the developmental stage and age of the child;
C. include active and quiet activity; and
D. contain provider-directed and child-initiated activity.
Subp. 2.
[Repealed, 10 SR 2617]
Subp. 3. Equipment.
The provider must have the equipment specified in this part in adequate quantities for the number and ages of children in care and to carry out the activities specified in this part. Equipment may be new, used, commercial, or homemade, as long as it is appropriate for the ages of the children and activities for which it will be used, safe, and in good repair.
Subp. 4. Newborn or infant activities.
The provider shall:
A. Hold the infant or newborn during bottle feedings until the child can hold its own bottle. Bottles must not be propped.
B. Respond to the infant or newborn's attempts to communicate.
C. Provide freedom of movement to the infant or newborn during a large part of the waking day to the extent that safety and weather permits. The noncreeping child shall spend part of each day out of a crib or infant seat. The creeping infant or newborn shall have freedom to explore outside of the crib or infant seat.
D. Give the infant or newborn opportunity to stimulate the senses by providing a variety of activities and objects to see, touch, feel, smell, hear, and taste.
E. Provide activities for the infant or newborn that develop the child's manipulative and fine motor skills, self-awareness, and social responsiveness.
Subp. 5. Newborn or infant equipment.
The following minimum equipment is required for each infant or newborn:
A. an infant seat or high chair; and
B. a crib, portable crib, or playpen with waterproof mattress or pad which meets the requirements in part 9502.0425, subpart 9.
Subp. 6. Toddler activities.
The provider shall:
A. Provide the toddler with freedom of movement and freedom to explore outside the crib or playpen.
B. Talk to, listen to, and interact with the toddler to encourage language development.
C. Provide the toddler with large muscle activities and activities which develop the child's small muscles and manipulative skills.
D. Develop and stimulate learning by reading stories to the child or looking at picture books together.
E. Give the toddler opportunities to stimulate the senses by providing a variety of age-appropriate activities and objects to see, touch, feel, smell, hear, and taste.
Subp. 7. Toddler equipment.
Each toddler shall be provided with a mat, crib, cot, bed, sofa, or sleeping bag.
Subp. 8. Preschooler activities.
The provider shall:
A. Encourage conversation between the child and other children and adults.
B. Provide opportunity to play near and with other children; provide time and space for individual and group play; allow for quiet times to talk or rest; allow for unplanned time and individual play time.
C. Foster understanding of personal and peer feelings and actions and allow for the constructive release of feelings and anger through discussion or play.
D. Give assistance in toileting and provide time to carry out self-help skills and provide opportunity to be responsible for activities like putting away play equipment and helping around the house.
E. Provide opportunity for each child to make decisions about daily activities and to take credit for the consequences of decisions.
F. Provide time and areas for age appropriate large muscle play.
G. Provide learning, small muscle, manipulative, creative or sensory activities.
H. Read stories, look at books together, and talk about new words and ideas with the child.
Subp. 9. Preschooler equipment.
Each preschooler shall be provided with a mat, bed, cot, sofa, or sleeping bag.
Subp. 10. School-age activities.
The provider shall:
A. provide opportunities for individual discussion about the happenings of the day and planning for activities;
B. provide space and opportunity for games, activities, or sports using the whole body, outdoors, weather permitting;
C. provide space and opportunity for individual rest and quiet time;
D. allow increased freedom as the child demonstrates increased responsibility;
E. provide opportunities for group experiences with other children;
F. provide opportunities to develop or expand self-help skills or real-life experiences; and
G. provide opportunities for creative and dramatic activity, arts and crafts, or field trips.
Subp. 11.
[Repealed, 10 SR 2617]
Subp. 12. Written permission.
Written permission must be obtained from the parent to allow a school-age child in care to participate in activities away from the residence.
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617
Minn. R. 9502.0425 Physical Environment
Subpart 1. Indoor space.
The licensed capacity of the day care residence must be limited by the amount of usable indoor space available to children. A minimum of 35 square feet of usable indoor space is required per child.
A. Bathrooms, closets, space occupied by major appliances, and other space not used by children may not be counted as usable space. Space occupied by adult furniture, if it is used by children, may be counted as usable indoor space.
B. Usable indoor space may include a basement if it has been inspected by a fire marshal, is free of hazard, and meets the minimum exiting standards specified in subpart 4.
Subp. 2. Outdoor play space.
There must be an outdoor play space of at least 50 square feet per child in attendance, adjacent to the residence, for regular use, or a park, playground, or play space within 1,500 feet of the residence. On-site supervision must be provided by a caregiver for children of less than school age when play space is not adjacent to the residence. Enclosure may be required by the agency to provide protection from rail, traffic, water, or machinery hazard. The area must be free of litter, rubbish, toxic materials, water hazards, machinery, unlocked vehicles, human or animal wastes, and sewage contaminants.
Subp. 3. Water hazards.
Swimming and wading pools, beaches, or other bodies of water on or adjacent to the site of the residence must be inaccessible to children except during periods of supervised use. Wading pools, as defined in chapter 4717, must be kept clean. When children use a swimming pool, as defined in chapter 4717, or beach, an attendant trained in first aid and resuscitation shall be present. Any public swimming pool, as defined in chapter 4717, used by children must meet the requirements of chapter 4717.
Subp. 4.
[Repealed, L 2019 1Sp9 art 2 s 134]
Subp. 5.
[Repealed, L 2024 c 115 art 19 s 30]
Subp. 6. Vertical separations.
For group family day care homes with a licensed capacity of more than ten children, a 1-3/4 inch solid wood core door or a door and frame with at least a 20-minute fire protection rating, must be provided whenever more than two floors of the residence are connected. These doors must be equipped with self-closing devices.
Subp. 7. Heating and venting systems.
The following heating and venting guidelines must be met:
A. Stove and heater locations must not block escape in case of a fire.
B. Gas, coal, wood, kerosene, or oil heaters must be vented to the outside in accordance with the State Building Code.
C. Combustible items must not be located within 36 inches of the furnace or other heating sources.
D. Whenever in use, fireplaces, wood-burning stoves, solid fuel appliances, space heaters, steam radiators, and other potentially hot surfaces, such as steam pipes, must be protected by guards to prevent burns. All fireplaces, wood-burning stoves, space heaters, steam radiators, and furnaces must be installed according to the State Building Code.
E. The furnace, hot water heater, and workshop area must be inaccessible to children. Separation may be by a door, partition, or gate. There must be allowance for air circulation to the furnace.
F. Ventilation of usable space must meet the requirements of the State Building Code. Outside doors and windows used for ventilation in summer months must be screened when biting insects are prevalent.
Subp. 8. Temperature.
A minimum temperature of 62 degrees Fahrenheit must be maintained in indoor areas used by children.
Subp. 9. Infant and newborn sleeping space.
There must be a safe, comfortable sleeping space for each infant and newborn. A crib, portable crib, or playpen with waterproof mattress or pad must be provided for each infant or newborn in care. The equipment must be of safe and sturdy construction that conforms to volume 16, parts 1508 to 1508.7 and parts 1509 to 1509.9 of the Code of Federal Regulations, its successor, or have a bar or rail pattern such that a 2-3/8 inch diameter sphere cannot pass through. Playpens with mesh sidings must not be used for the care or sleeping of infants or newborns.
Subp. 10.
[Repealed, L 2024 c 115 art 19 s 30]
Subp. 11. Decks.
Decks, balconies, or lofts used by children more than 30 inches above the ground or floor must be surrounded by a protective guardrail and be constructed in accordance with the State Building Code. Wooden decks must be free of splinters and coated with wood preservative, paint, or constructed with treated wood.
Subp. 12. Locks and latches.
Door locks and latches must meet the following guidelines:
A. a closet door latch must be made so that children can open the door from inside the closet;
B. every bathroom door lock must permit opening of the locked door from the outside and the opening device must be readily accessible to all caregivers; and
C. double cylinder (key required both sides) locks on exit doors are prohibited.
Subp. 13. Sewage disposal.
Day care residences must have toilet facilities and sewage disposal systems that conform to the State Building Code or local septic system ordinances. The toilets must flush thoroughly. Outdoor toilets are permissible when local ordinances allow.
Subp. 14. Construction, remodeling.
During construction or remodeling, children shall not have access to dangerous construction or remodeling areas within or around the residence.
Subp. 15. Interior walls and ceilings.
The interior walls and ceilings within the residence, as well as corridors, stairways, and lobbies must have a flame spread rating of 200 or less.
Subp. 16.
[Repealed, L 2019 1Sp9 art 2 s 134]
Subp. 17.
[Repealed, L 2019 1Sp9 art 2 s 134]
Subp. 18. Electrical services.
The following electrical guidelines must be met:
A. all electric receptacles accessible to children under first grade must be tamper-proof or shielded when not in use;
B. all major electrical appliances must be properly installed, grounded in accordance with the state electric code, and in good working order;
C. extension cords shall not be used as a substitute for permanent wiring; extension cords and flexible cords shall not be affixed to structures, extended through walls, ceilings, floors, under doors or floor coverings, nor be subject to environmental damage or physical impact; and
D. electrical wiring must be sized to provide for the load and be in good repair.
Subp. 19. Smoking prohibited in group family child care home.
Pursuant to Minnesota Statutes, section 144.414, subdivision 2, smoking is prohibited in a group family child care provider's home during hours of operation.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617; 30 SR 585; L 2019 1Sp9 art 2 s 134
Minn. R. 9502.0435 Sanitation and Health
Subpart 1. Sanitation and cleanliness.
The residence must be free from accumulations of dirt, rubbish, or peeling paint.
Subp. 2. Pest control.
Effective measures must be taken to protect the home against vermin and insects. Chemicals for insect and rodent control must not be applied in areas accessible to children when children are present.
Subp. 3. Rubbish.
Indoor and outdoor garbage and rubbish containers must not be accessible to infants and toddlers.
Subp. 4. Toxic substances.
All medicines, chemicals, detergents, poisonous plants, alcoholic beverages, and other toxic substances must be inaccessible to children. They must be stored away from food products. Equipment or toys which are mouthed or may be chewed must be free of lead-based paint. Toys and equipment with chipped, cracked, or peeling paint must be tested to verify the absence of lead or be replaced.
Subp. 5. Firearms.
All firearms must be unloaded and inaccessible to children. Ammunition and firearms must be stored in separate locked areas.
Subp. 6. Hazardous activity materials.
Knives, matches, plastic bags, and other potential hazards must be kept out of the reach of infants, toddlers, and preschoolers. The use of potentially hazardous materials and tools must be supervised.
Subp. 7. First aid kit.
The provider shall have a first aid kit that contains bandages, sterile compresses, scissors, an ice bag or cold pack, an oral or surface thermometer, mild liquid soap, and adhesive tape. A first aid manual must be included. The kit and manual must be accessible and taken on field trips.
Subp. 8. Emergencies.
The provider shall be prepared for emergencies.
A. An operable telephone must be located within the residence.
B. Emergency phone numbers must be posted by the telephone. The numbers must be those of the local fire department, police department, emergency transportation, and poison control center.
C. The emergency phone numbers of the parents and child's physician and dentist must be readily available within the residence and taken on field trips.
D. Prior arrangements must be made for a substitute to provide care during emergencies.
E. For severe storms and tornadoes, the provider shall have a designated area within the residence that children shall go to for cover, and an operable battery flashlight, and portable radio or TV available.
F. The provider shall have a written fire escape plan and a log of monthly fire and storm drills on file in the residence. The plan must be approved by the agency and specify:
Subp. 9. Transportation of children.
When transportation is given to children in a motor vehicle other than a bus or school bus operated by a common carrier, the following provisions for their safety must be made.
A. A child may be transported only if the child is fastened in a safety seat, seat belt, or harness appropriate to the child's weight and the restraint is installed and used in accordance with the manufacturer's instructions.
B. A child under the age of four may be transported only if the child is securely fastened in a child passenger restraint system which meets the federal motor vehicle safety standards contained in Code of Federal Regulations, title 49, section 571.213 or its successor.
C. Any vehicle operated by the provider for the transportation of children must be licensed in accordance with the laws of the state and the driver shall hold a current, valid driver's license.
D. Written permission to transport children must be obtained from parents.
E. No child is permitted to remain unattended in any vehicle.
Subp. 10. Separation of personal articles.
Separate towels, wash cloths, drinking cups, combs, and other personal articles must be used for each child.
Subp. 11. Bedding.
Clean, separate bedding must be provided for each child in care.
Subp. 12. Pets.
All pets housed within the residence shall be maintained in good health and limited to dogs, cats, fish, guinea pigs, gerbils, rabbits, hamsters, rats, mice, and birds if the birds are clear of chlamydia psittaci. The provider shall ensure that:
A. parents are notified prior to admission of the presence of pets in the residence;
B. children handle animals only with supervision;
C. rabies shots and tags are current for all dogs and cats;
D. pet cages are located and cleaned away from any food preparation, storage, or serving areas;
E. play areas are free of animal excrement not confined to pet cages;
F. parents of a child whose skin is broken by an animal bite or scratch, are notified of the injury on the day the injury occurs; and
G. the agent of a community health board as authorized under Minnesota Statutes, section 145A.04 is immediately notified whenever a child in care is bitten by an animal, the notification shall be given before any steps are taken to destroy the animal, and the provider shall take reasonable steps to confine the animal.
Subp. 13. Diapers.
Children in diapers shall be kept clean and dry. The following sanitary procedures must be used to reduce the spread of communicable disease.
A. An adequate supply of clean diapers must be available for each child and stored in a clean place inaccessible to children. If cloth diapers are used, parents must provide a change of the outer plastic pants for each fecally soiled diaper change. Cloth diapers, except those supplied by a commercial diaper service, and plastic pants, if supplied by parents, must be labeled with the child's name.
B. Diapers and clothing must be changed when wet or soiled.
C. For disposable diapers, a covered diaper disposal container must be located in the diaper changing area and lined with a disposable plastic bag. The container must be emptied when full, and at least daily.
D. Diapering must not take place in a food preparation area. The diaper changing area must be covered with a smooth, nonabsorbent surface. If the surface is not disposable and is wet or soiled, it must be washed with soap and water to remove debris and then disinfected with a solution of at least two teaspoons of chlorine bleach to one quart of water. If the surface is not soiled with feces or urine, then it must be disinfected with the solution of chlorine bleach and water after each diapering.
E. Single service disposable wipes or freshly laundered cloths must be used for washing a soiled child. A child who has soiled or wet must be washed with a disposable wipe or a freshly laundered cloth before rediapering.
F. Cloth diapers, except those supplied by a commercial diaper service, plastic pants, and soiled clothing must be placed in the plastic bag after removal and sent home with the parent daily.
Subp. 14. Toilet training chairs.
Toilet training chairs, chairs, stools, and seats must be washed with soap and water when soiled, and at least daily.
Subp. 15. Hand washing.
A child's hands must be washed with soap and water when soiled, after the use of a toilet or toilet training chair, and before eating a meal or snack. The provider shall monitor and assist the child who needs help.
A. In sinks and tubs accessible to children, the water temperature must not exceed 120 degrees Fahrenheit to prevent children from scalding themselves while washing.
B. Caregivers shall wash their hands with soap and water after each diaper change, after assisting a child on the toilet, after washing the diapering surface, and before food preparation. Hands must be dried on a single use towel.
Subp. 16. Care of ill children, medicine administration.
The following provisions must be followed for the care of ill children and the administration of medicine.
A. The provider shall notify the parent immediately when a child in care develops any of the following symptoms:
B. The provider shall follow written instructions from an authorized agent or the physician of an ill child placed in the provider's care if the child has any of the illnesses specified in item E.
C. The provider shall require that a child's parent notify the provider within 24 hours of the diagnosis of a serious contagious illness or parasitic infestation listed in item E so the provider may notify the parents of other children in care.
D. The provider shall inform a parent of each exposed child the same day the provider is notified a positive diagnosis has been made for any of the illnesses or parasitic infestations in item E.
E. The provider shall notify the authorized agent or Minnesota Department of Health of any suspected case of reportable disease as specified in part 4605.7040. The agency shall provide the provider with a copy of part 4605.7040 at the time of initial licensure.
F. The following govern the administration of medicine by the provider to children in care:
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617; L 1987 c 309 s 24; 30 SR 1216; L 2015 c 21 art 1 s 109
Minn. R. 9502.0445 Water, Food, and Nutrition
Subpart 1. Water.
There must be a safe water supply in the residence.
A. Water from privately owned wells, must be tested annually by a Minnesota Health Department certified laboratory for coliform bacteria and nitrate nitrogens to verify safety. The provider shall file a record of the test results with the agency. Retesting and corrective measures may be required by the agency if results exceed state drinking water standards or where the supply may be subject to off-site contamination.
B. Drinking water must be available to the children and offered at frequent intervals in separate or single service drinking cups or bottles.
Subp. 2. Milk.
Milk served to children in care must be pasteurized.
Subp. 3. Meals and snacks.
Well-balanced meals and snacks must be offered daily.
A. Food served during the day must include servings from each of the basic food groups as defined by the United States Department of Agriculture's Code of Federal Regulations, title 7, section 226.20.
B. The provider shall follow written instructions obtained from the parents, at the time of enrollment, on each child's special diet or food needs. Parents shall be consulted about special food preferences.
C. Flexible feeding schedules must be provided for infants and toddlers, and the infant or toddler's usual diet and feeding schedule must be followed.
D. Food, lunches, and bottles brought from home must be labeled with the child's name and refrigerated when necessary. Bottles must be washed after use.
Subp. 4. Food safety.
Food must be handled and stored properly to prevent contamination and spoilage.
A. All food and cooking utensils must be stored to protect them from dust, vermin, pipe leakage, or other contamination.
B. Food requiring refrigeration must be maintained at no more than 40 degrees Fahrenheit. Food requiring heating must be maintained at no less than 150 degrees Fahrenheit until ready to serve. Frozen food must be maintained in a solid state until used.
C. Appliances used in food storage and preparation must be safe and clean.
D. No hermetically sealed (canned), nonacid or low-acid food which has been processed in a place other than a commercial food-processing establishment shall be served to children in care. Low-acid food includes meats, fish, and poultry and most vegetables and is required to be steam-pressure canned by the United States Department of Agriculture in Bulletin number 8, "Home Canning of Fruits and Vegetables," 1983 Edition. Fresh and frozen foods, properly canned tomatoes, pickled foods, and canned fruits such as apples, berries, peaches, apricots, jams, and jellies may be served to children in care. The USDA "Home Canning of Fruits and Vegetables," Home and Garden Bulletin number 8, 1983 Edition, is incorporated by reference. It is not subject to frequent change and is available through Minitex interlibrary loan system, or by writing the Superintendent of Documents, U.S. Government Printing Office, Washington D.C., 20402.
History
- Statutory Authority: MS s 245A.09; 252.28
- History: 9 SR 2106; 10 SR 2617
Chapter 9503 CHILD CARE CENTER LICENSING
Minn. R. 9503.0005 Definitions
Subpart 1. Scope.
The definitions in this part apply to parts 9503.0005 to 9503.0170.
Subp. 2. Age category.
"Age category" means the designation given a child according to the child's age. The age categories are as follows:
A. "Infant" means a child who is at least six weeks old but less than 16 months old.
B. "Toddler" means a child at least 16 months old but less than 33 months old.
C. "Preschooler" means a child who is at least 33 months old but who has not yet attended the first day of kindergarten.
D. "School-age child" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 16. The age designation given a child may be further modified in accordance with part 9503.0040, subpart 4.
Subp. 3. Applicant.
"Applicant" means a person, corporation, partnership, voluntary association, or other organization that has applied for licensure under Minnesota Statutes, chapter 245A, and parts 9503.0005 to 9503.0170. The term includes license holders that have applied for a new license to continue operating a child care program after the expiration date of their current license.
Subp. 4. Building official.
"Building official" means a person appointed according to Minnesota Statutes, section 326B.133, to administer the State Building Code. The term includes the appointee's authorized representative.
Subp. 5. Center.
"Center" means a facility in which a child care program is operated when the facility is not excluded by Minnesota Statutes, section 245A.03, subdivision 2, and is not required to be licensed under parts 9502.0315 to 9502.0445 as a family or group family day care home.
Subp. 6. Child.
"Child" means a person 12 years old or younger.
Subp. 7. Child care program.
"Child care program" means the systematic organization or arrangement of activities, personnel, materials, and equipment in a facility to promote the physical, intellectual, social, and emotional development of a child in the absence of the parent for a period of less than 24 hours a day.
Subp. 8. Child care program plan.
"Child care program plan" means the written document that states the specific activities that will be provided by the license holder to promote the physical, intellectual, social, and emotional development of the children enrolled in the center.
Subp. 9. Clean.
"Clean" means free from dirt or other contaminants that can be detected by sight, smell, or touch.
Subp. 10. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designated representative.
Subp. 11. Disinfected.
"Disinfected" means treated to reduce microorganism contamination after an object has been cleaned. Disinfection must be done by rinsing or wiping with a solution of one-fourth cup chlorine bleach plus water to equal one gallon, or an equivalent product or process approved by the community health board as defined in Minnesota Statutes, section 145A.02, or its designee.
Subp. 12. Facility.
"Facility" means the indoor and outdoor space in which the child care program is provided.
Subp. 13. Fire marshal.
"Fire marshal" means the person designated by Minnesota Statutes, section 299F.011, to administer and enforce the Minnesota Uniform Fire Code. The term includes the fire marshal's authorized representative.
Subp. 14. Health consultant.
"Health consultant" means a physician licensed to practice medicine under Minnesota Statutes, chapter 147; a public health nurse or registered nurse licensed under Minnesota Statutes, section 148.171; or the community health board as defined in Minnesota Statutes, section 145A.02, or its designee.
Subp. 15. License.
"License" means a certificate issued by the commissioner authorizing the license holder to operate a child care program in a center for a specified period of time in accordance with the terms of the license, rules of the commissioner, and provisions of Minnesota Statutes, chapter 245A.
Subp. 16. License holder.
"License holder" means the individual, corporation, partnership, voluntary association, or other organization legally responsible for the operation of the child care program in a center that has been granted a license by the commissioner under Minnesota Statutes, chapter 245A, and parts 9503.0005 to 9503.0170.
Subp. 17. Licensed capacity.
"Licensed capacity" means the maximum number of children for which the license holder is licensed to operate a child care program in a center at any one time.
Subp. 18. Medicine.
"Medicine" means a substance used to treat disease or injuries, maintain health, heal, or relieve pain. The term applies to prescription and nonprescription substances taken internally or applied externally.
Subp. 19. Minnesota Uniform Fire Code.
"Minnesota Uniform Fire Code" means those codes and regulations adopted by the state fire marshal according to Minnesota Statutes, section 299F.011.
Subp. 20. Parent.
"Parent" means the person or persons with legal custody of the child.
Subp. 21. Program staff person.
"Program staff person" means a teacher, assistant teacher, or aide, whether paid or unpaid, who carries out the child care program plan in the center and has direct contact with children.
Subp. 21a. School-age child care program.
"School-age child care program" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 17.
Subp. 22. Sick child.
"Sick child" means a child with a condition or illness as specified in part 9503.0080.
Subp. 23. Staff person.
"Staff person" means a person, whether paid or unpaid, who works in the center.
Subp. 24. State Building Code.
"State Building Code" means those codes and regulations adopted by the commissioner of the Department of Administration according to Minnesota Statutes, section 326B.101, and contained in chapter 1300.
Subp. 25. Supervision.
"Supervision" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 18.
Subp. 26. Variance.
"Variance" means time limited written permission by the commissioner for an applicant or license holder to depart from the provisions of parts 9503.0005 to 9503.0170 if equivalent alternative measures are taken to ensure the health, safety, and rights of the children in care.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.02; 245A.09; 252.28
- History: 13 SR 173; 30 SR 585; L 2007 c 140 art 4 s 61; art 13 s 4; L 2015 c 21 art 1 s 109
Minn. R. 9503.0010 Applicability
Parts 9503.0005 to 9503.0170 govern the licensure of the applicants for and license holders operating a child care program in a center.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173
Minn. R. 9503.0015 Options for Child Care Programs
A license holder must provide one or more of the following child care programs:
A. A "day program" means a child care program operated during normal waking hours (approximately 6 a.m. to 6 p.m.). The program:
B. A "drop-in child care program" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 6a.
C. A "night care program" means a child care program operated during normal sleeping hours (approximately 6 p.m. to 6 a.m.).
D. A "sick care program" means a child care program that provides care to a sick child.
E. A "school-age child care program" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 17.
History
- Statutory Authority: MS s 14.386; 14.388; c 245A; 252.28; L 1989 c 282 art 2 s 211
- History: 13 SR 173; 14 SR 2533; 30 SR 585
Minn. R. 9503.0025 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9503.0030 Qualifications of Applicant and Staff
Subpart 1. Definitions.
In parts 9503.0030 to 9503.0034:
A. "Accredited course" means a course that is offered for credit by or through an accredited postsecondary institution.
B. [Repealed, L 2025 1Sp3 art 14 s 22]
C. "Experience" means paid or unpaid employment serving children as a teacher, assistant teacher, or aide, in a licensed child care center, or work as a student intern in a licensed center, a school operated by the commissioner of education or by a legally constituted local school board, or a private school approved under rules administered by the commissioner of education.
D. "Student intern" means a student of a postsecondary institution assigned by that institution for a supervised experience with children. The experience must be in a licensed center, an elementary school operated by the commissioner of education or a legally constituted local school board, or a private school approved under rules administered by the commissioner of education. The term includes a person who is practice teaching, student teaching, or carrying out a practicum or internship.
E. "Staff supervision" means responsibility to hire, train, assign duties, and direct staff in day to day activities and evaluate staff performance. A "supervisor" is a person with staff supervision responsibility.
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
History
- Statutory Authority: MS s 245A.02; 245A.04; 245A.09; 252.28
- History: 13 SR 173; 15 SR 2043; L 1991 c 38 s 2; 18 SR 2748; L 1995 1Sp3 art 16 s 13; L 2003 c 130 s 12
Minn. R. 9503.0031 Directors
Subpart 1. General requirements for a director.
A director must:
A. be at least 18 years old;
B. be a graduate of a high school or hold an equivalent diploma attained through successful completion of the commissioner of education-selected high school equivalency test;
C. have at least 1,040 hours of paid or unpaid staff supervision experience; and
D. have at least nine quarter credits or 90 hours earned in any combination of accredited courses in staff supervision, human relations, and child development.
Subp. 2. Additional requirements.
If a director functions as a teacher or develops or revises the child care program plan, the director must meet the qualifications of a teacher specified in part 9503.0032.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; L 2017 1Sp5 art 10 s 7
Minn. R. 9503.0032 Teachers
Subpart 1. Teacher qualifications, general.
A teacher must be at least 18 years old and meet the qualifications in subpart 2 with the following exceptions:
A. A registered nurse or licensed practical nurse is qualified as a teacher for infants only.
B. A registered nurse may be used to meet the staff-to-child ratios for a teacher for sick care in a center licensed to operate a sick care program.
Subp. 2. Teacher education and experience requirements.
A teacher with the credential listed in column A must have the education and experience listed in column B.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748; L 1995 1Sp3 art 16 s 13; L 2003 c 130 s 12; L 2017 1Sp5 art 10 s 7
Minn. R. 9503.0033 Assistant Teachers
Subpart 1. Assistant teacher qualifications, general.
An assistant teacher must work under the supervision of a teacher. An assistant teacher must be at least 18 years old and meet the qualifications in subpart 2 with the following exceptions:
A. A registered nurse or licensed practical nurse is qualified as an assistant teacher for infants only.
B. A registered nurse may be used to meet the staff-to-child ratios for an assistant teacher for sick care in a center licensed to operate a sick care program.
Subp. 2. Assistant teacher education and experience requirements.
An assistant teacher with the credential listed in column A must have the education and experience listed in column B.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748; L 1995 1Sp3 art 16 s 13; L 2017 1Sp5 art 10 s 7
Minn. R. 9503.0034 Aides, Volunteers, Substitutes
Subpart 1. Aide qualifications.
In this part, "aide" means a staff person who carries out child care program activities under the supervision of a teacher or assistant teacher. An aide who is under 18 years old must be directly supervised by a teacher or assistant teacher at all times except when the aide is assisting with the supervision of sleeping children or assisting children with washing, toileting, and diapering. An aide must be at least 16 years old.
Subp. 2. Volunteers used as staff.
A volunteer who is included in the staff-to-child ratio must meet the requirements for the assigned staff position as specified in parts 9503.0030 to 9503.0034. Volunteers who have direct contact with or access to children must be supervised by a staff person who meets the qualifications for director, teacher, or assistant teacher.
Subp. 3. Substitute staff.
A person designated as a substitute must meet the qualifications for the assigned staff position as specified in parts 9503.0030 to 9503.0034, except that the license holder may use substitutes who do not meet the qualifications for teacher in part 9503.0032, subpart 2, or assistant teacher in part 9503.0033, subpart 2, only if:
A. the amount of unqualified substitute hours per center per calendar year does not exceed 40 hours multiplied by the number of the center's full-time teacher and assistant teacher positions;
B. unqualified substitutes are not used as teachers or assistant teachers for more than ten consecutive working days for the same group of children per calendar year; and
C. there is always a person qualified as a teacher present within the center except as qualified in part 9503.0040, subpart 2, item B.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748
Minn. R. 9503.0035 Repealed by subpart
Subpart 1.
[Repealed, L 2007, c 112, s 59]
Subp. 2.
[Repealed, L 2007 c 147 art 11 s 27]
Subp. 3.
[Repealed, L 2007, c 112, s 59]
Subp. 4.
[Repealed, L 2007, c 112, s 59]
Minn. R. 9503.0040 Staff Ratios and Group Size
Subpart 1. Staff-to-child ratios and maximum group size.
Except as provided in subpart 2, the minimally acceptable staff-to-child ratios and the maximum group size within each age category are:
Subp. 2. Staff distribution.
The license holder must ensure that the following requirements for staff distribution are met and a written staff distribution record is kept in the administrative record.
A. Only a staff person who is qualified as a teacher, assistant teacher, or aide and who works directly with children can be counted in meeting the staff-to-child ratios.
B. An assistant teacher may be substituted for a teacher during morning arrival and afternoon departure times if the total arrival and departure time does not exceed 25 percent of the center's daily hours of operation.
C. The maximum group size applies at all times except during meals, outdoor activities, field trips, naps and rest, and special activities such as films, guest speakers, and holiday programs.
D. Except as provided in item B, staff distribution within each age category must follow the pattern in subitems (1) to (4).
Subp. 3. Age category grouping.
Children in different age categories may be grouped as follows:
A. During morning arrival and afternoon departure times, children in different age categories may be grouped together if:
B. During the center's regular hours of operation, children in different age categories may be mixed within a group if:
Subp. 4. Age designation.
A child must be designated as a member of the age category that is consistent with the child's date of birth with the following exceptions:
A. A child may be designated as an "infant" up to the age of 18 months for purposes of staff ratios, group size, and child care programming, if the parent, teacher, and center director determine that such a designation is in the best interests of the child. A child may be designated as a "toddler" up to the age of 35 months, or as a "preschooler" at the age of 31 months for purposes of staff ratios, group size, and child care programming, if the parent, teacher, and center director determine that the designation is in the best interests of the child.
B. A child attending kindergarten must be designated a school-age child.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748
Minn. R. 9503.0045 Child Care Program Plan
Subpart 1. General requirement.
The applicant must develop a written child care program plan, and the license holder must see that it is carried out. The child care program plan must:
A. mandate that children have supervision at all times;
B. describe the age categories and number of children to be served by the program;
C. describe the days and hours of operation of the program;
D. describe the general educational methods to be used by the program and the religious, political, or philosophical basis, if any;
E. be developed and evaluated in writing annually by a staff person qualified as a teacher under part 9503.0032;
F. have stated goals and objectives to promote the physical, intellectual, social, and emotional development of the children in each age category in part 9503.0005, subpart 2, for which care is provided;
G. specify activities designed to promote the intellectual, physical, social, and emotional development of a child in a manner consistent with the child's cultural background;
H. specify that the intellectual, physical, social, and emotional progress of each child be documented in the child's record and conveyed to the parent during the conferences specified in part 9503.0090, subpart 2;
I. provide a daily schedule for both indoor and outdoor activities;
J. provide for activities that are both quiet and active, teacher directed and child initiated;
K. provide for a variety of activities that require the use of varied equipment and materials; and
L. be available to parents for review on request.
Subp. 2. Interest areas.
A child care program that operates for more than three hours a day must provide daily access to interest areas of the center that are supplied with the equipment and materials needed to carry out the activities specified in items A to H, except that a child care program serving only school-age children and operating for less than 90 consecutive calendar days or any program operating for less than three hours a day must provide each child with daily access to indoor or outdoor large muscle activities specified in item G and at least five of the following interest areas:
A. creative arts and crafts;
B. construction;
C. dramatic or practical life activities;
D. science;
E. music;
F. fine motor activities;
G. large muscle activities; or
H. sensory stimulation activities.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173
Minn. R. 9503.0050 Naps and Rest
Subpart 1. Naps and rest policy.
The applicant must develop a policy for naps and rest that is consistent with the developmental level of the children enrolled in the center.
Subp. 2. Parent consultation.
The parent of each child must be informed at the time the child is enrolled of the center's policy on naps and rest.
Subp. 3. Confinement limitation.
A child who has completed a nap or rested quietly for 30 minutes must not be required to remain on a cot or mat or in a crib or bed.
Subp. 4. Placement of equipment.
Naps and rest must be provided in a quiet area that is physically separated from children who are engaged in activity that will disrupt a napping or resting child. Cribs, cots, beds, and mats must be placed so there are clear aisles and unimpeded access for both adults and children on at least one side of each piece of napping and resting equipment. Cribs, cots, beds, and mats must be placed directly on the floor and must not be stacked when in use.
Subp. 5. Crib standard.
A crib or portable crib must be provided for each infant for which the center is licensed to provide care. The equipment must be of safe and sturdy construction that conforms to Code of Federal Regulations, title 16, sections 1508 to 1508.7 and 1509 to 1509.9, as amended through October 27, 1982, or have a bar, mesh, or rail pattern such that a 2-3/8 inch diameter sphere cannot pass through.
Subp. 6. Bedding.
Separate bedding must be provided for each child in care. Bedding must be washed weekly and when soiled or wet. Blankets must be washed or dry cleaned weekly and when soiled or wet.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748
Minn. R. 9503.0055 Behavior Guidance
Subpart 1. General requirements.
The applicant must develop written behavior guidance policies and procedures, and the license holder must see that the policies and procedures are carried out. The policies and procedures must:
A. ensure that each child is provided with a positive model of acceptable behavior;
B. be tailored to the developmental level of the children the center is licensed to serve;
C. redirect children and groups away from problems toward constructive activity in order to reduce conflict;
D. teach children how to use acceptable alternatives to problem behavior in order to reduce conflict;
E. protect the safety of children and staff persons; and
F. provide immediate and directly related consequences for a child's unacceptable behavior.
Subp. 2. Persistent unacceptable behavior.
The license holder must have written procedures for dealing with persistent unacceptable behavior that requires an increased amount of staff guidance and time. The procedures must specify that staff:
A. observe and record the behavior of the child and staff response to the behavior; and
B. develop a plan to address the behavior documented in item A in consultation with the child's parent and with other staff persons and professionals when appropriate.
Subp. 3. Prohibited actions.
The license holder must have and enforce a policy that prohibits the following actions by or at the direction of a staff person:
A. Subjection of a child to corporal punishment. Corporal punishment includes, but is not limited to, rough handling, shoving, hair pulling, ear pulling, shaking, slapping, kicking, biting, pinching, hitting, and spanking.
B. Subjection of a child to emotional abuse. Emotional abuse includes, but is not limited to, name calling, ostracism, shaming, making derogatory remarks about the child or the child's family, and using language that threatens, humiliates, or frightens the child.
C. Separation of a child from the group except as provided in subpart 4.
D. Punishment for lapses in toilet habits.
E. Withholding food, light, warmth, clothing, or medical care as a punishment for unacceptable behavior.
F. The use of physical restraint other than to physically hold a child when containment is necessary to protect a child or others from harm.
G. The use of mechanical restraints, such as tying. For children with developmental disabilities or children under the age of five, as specified in parts 9525.0004 to 9525.0036, physical and mechanical restraints may be permitted if they are implemented in accordance with the aversive and deprivation procedures governed by parts 9525.2700 to 9525.2810.
Subp. 4. Separation from the group.
No child may be separated from the group unless the license holder has tried less intrusive methods of guiding the child's behavior which have been ineffective and the child's behavior threatens the well being of the child or other children in the center. A child who requires separation from the group must remain within an unenclosed part of the classroom where the child can be continuously seen and heard by a program staff person. When separation from the group is used as a behavior guidance technique, the child's return to the group must be contingent on the child's stopping or bringing under control the behavior that precipitated the separation, and the child must be returned to the group as soon as the behavior that precipitated the separation abates or stops. A child between the ages of six weeks and 16 months must not be separated from the group as a means of behavior guidance.
Subp. 5. Separation report.
All separations from the group must be noted on a daily log. The license holder must ensure that notation in the log includes the child's name, staff person's name, time, date, and information indicating what less intrusive methods were used to guide the child's behavior and how the child's behavior continued to threaten the well being of the child or other children in care. If a child is separated from the group three times or more in one day, the child's parent shall be notified and notation of the parent notification shall be indicated on the daily log. If a child is separated five times or more in one week or eight times or more in two weeks, the procedure in subpart 2 must be followed.
Subp. 6. Children with developmental disabilities.
For children with developmental disabilities or children under the age of five, as specified in parts 9525.0004 to 9525.0036, the standards governing the use of aversive and deprivation procedures in parts 9525.2700 to 9525.2810 apply.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28; 256B.092
- History: 13 SR 173; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9503.0060 Furnishings, Equipment, Materials, and Supplies
Subpart 1. General requirements.
Each child care program must have the quantity and type of equipment specified in subparts 3 to 6 for the age categories of children served. Equipment must be appropriate to the age categories and any special needs of the children served. A center must have enough equipment for the number of children for which the center is licensed unless the use of equipment is rotated among groups of children. If the equipment is rotated among groups of children, the center must have enough for the maximum group size of the age category scheduled to use the equipment at times shown on the child care program plan. When the term "group" is used in this part it means the maximum group size for the age category specified in part 9503.0040, subpart 1. The minimum equipment specified for an age category in subparts 3 to 6 must be accessible every day to the children of that age category and arranged as specified in the child care program plan. Centers operating for less than three hours a day do not have to provide the outdoor equipment required in subpart 4, item B, subitem (9); subpart 5, item B, subitem (9); and subpart 6, item B, subitem (7).
Subp. 2. Definitions.
For the purpose of this part, the following terms have the meanings given them.
A. "Cognitive development equipment and materials" means equipment and materials designed to enhance components of intellectual development, such as problem solving abilities, observation skills, group skills, and symbol recognition.
B. "Dramatic play equipment" or "practical life activity equipment" means equipment, such as dress up clothes, large or miniature play sets, figures, and small and large building blocks that can be used to design a setting or space that stimulates the child's imagination and encourages role playing and the learning of practical life skills.
C. "Large muscle equipment" means equipment that is designed to enhance large muscle development and coordination, such as playground equipment, large boxes and pillows, large wheel toys, pull toys, balls, jump ropes, climbers, and rocking boats.
D. "Manipulative equipment" means equipment that is designed to enhance fine motor development and coordination, such as pegs and peg boards, puzzles, beads and strings, interlocking plastic forms, and carpentry materials.
E. "Sensory stimulation materials" means equipment, other than pictures, that has different shapes, colors, and textures that stimulate the child's visual and tactile senses. Examples of sensory stimulation materials include mobiles, crib attached activity boxes, sand and water activity materials, swatches of different textures of cloth, and wooden or plastic items of different shapes and colors.
Subp. 3. Equipment and materials for infants.
The minimum equipment and materials required for a center serving infants are as follows:
A. Furnishings:
B. Program equipment and materials:
C. Supplies:
Subp. 4. Equipment and materials for toddlers.
The minimum equipment required for a center serving toddlers is as follows:
A. Furnishings:
B. Program equipment and materials:
C. Supplies:
Subp. 5. Equipment and materials for preschoolers.
The minimum equipment required for a center serving preschoolers is as follows:
A. Furnishings:
B. Program equipment and materials:
C. Supplies:
Subp. 6. Equipment and materials for school-age children.
The minimum equipment and materials required for a program serving school-age children are as follows:
A. Furnishings:
B. Program equipment and materials:
C. Supplies:
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173
Minn. R. 9503.0065 Child Care for Children with Special Needs
Subpart 1. Definition.
"Child with special needs" for purposes of this part means a child at least six weeks old but younger than 13 years old who:
A. has developmental disabilities or is otherwise eligible for case management as specified in parts 9525.0004 to 9525.0036 and has an individual service plan specifying child care to be provided by the center;
B. has been identified by the local school district as a child with a disability as specified in Minnesota Statutes, section 125A.02, subdivision 1, and has an individualized education program specifying child care to be provided by the center according to Minnesota Statutes, section 125A.05; or
C. has been determined by a licensed physician, psychiatrist, licensed psychologist, or licensed consulting psychologist as having a special need relating to physical, social, or emotional development.
Subp. 2. Report to parent.
The license holder must inform the parent of any diagnosed or identified special need of a child that was not reported by the parent at the time of admission.
Subp. 3. Individual child care program plan.
When a license holder admits a child with special needs, the license holder must ensure that an individual child care program plan is developed to meet the child's individual needs. The individual child care program plan must be in writing and specify methods of implementation and be reviewed and followed by all staff who interact with the child.
If the child has developmental disabilities or is otherwise eligible for case management as specified in subpart 1, item A, then the individual child care plan must be coordinated with the child's individual service plan developed under parts 9525.0004 to 9525.0036.
If the child has a disability as specified in subpart 1, item B, then the individual child care plan must be coordinated with the child's individualized education program developed under Minnesota Statutes, chapter 125A.
If the child has a special need determined under subpart 1, item C, the individual child care plan must be coordinated with reports from the licensed physician, licensed psychiatrist, licensed psychologist, or licensed consulting psychologist. The individual child care plan must be evaluated at least annually by the licensed physician, licensed psychiatrist, licensed psychologist, or licensed consulting psychologist and with the child's parent to determine if the needs of the child are being met.
Subp. 4. Service contracts.
The license holder must have copies of all service contracts with the center for care or services provided under parts 9525.0004 to 9525.0036 and Minnesota Statutes, chapter 125A, when the care or service is provided to a child while at the center.
Subp. 5. Additional staff, staff qualifications, or training.
The license holder must ensure that any additional staff, staff qualifications, or training required by the child's individual child care plan in subpart 3 are provided.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.02; 245A.09; 252.28; 256B.092
- History: 13 SR 173; 18 SR 2244; L 1998 c 397 art 11 s 3; L 2005 c 56 s 2; 30 SR 585; L 2011 1Sp11 art 3 s 12
Minn. R. 9503.0070 Night Care Program
Subpart 1. Applicability.
A license holder operating a night care program must comply with this part as well as with all other requirements of parts 9503.0005 to 9503.0170.
Subp. 2. Furnishings.
Each child enrolled in a night care program must be provided with a crib, a bed, or a cot with a mattress. A crib and two sets of clean linens must be provided for each infant and meet the standards specified in part 9503.0050. A bed or a cot with a mattress, two sets of sheets, a blanket or quilt, and personal towels and washcloths must be provided for each child in all other age categories.
Subp. 3. Garments for sleeping.
The license holder must ensure that all children are put to bed in garments for sleeping as designated by the child's parent.
Subp. 4. Personal effects.
The license holder must ensure that all children have the personal effects needed to clean up and prepare for sleep. The effects must include an individual wash cloth, towel, toothbrush, toothpaste, and liquid hand soap.
Subp. 5. Meals and snacks.
The license holder must ensure that a child who will be present in the center between 6:00 p.m. and 7:00 p.m. has had or will be provided with an evening meal. A bedtime snack must be available for all children in attendance. Eating times and schedules for the individual child must be consistent with patterns established in consultation with the child's parents.
Subp. 6. Staffing.
At least two staff persons, one of whom must qualify as a teacher under part 9503.0032, must be present in the center at all times during the hours the night program is in operation. When more than 80 percent of the children present are asleep, the remaining staff persons needed to meet the required staff-to-child ratio must have at least the qualifications of a child care aide. Program staff must be awake and dressed and provide supervision to children who are sleeping.
Subp. 7. Wash-up assistance.
The license holder must ensure that children have the opportunity to wash up and cleanse their teeth before bedtime and be assisted by program staff when necessary.
Subp. 8. Privacy.
To ensure privacy, school-age boys and girls must be separated during bedtime washing and changing activities.
Subp. 9. Infants.
Infants must have a sleep area separate from the center's play and activity areas.
Subp. 10. Bedtime.
A child's bedtime must be scheduled in consultation with the child's parent.
Subp. 11. Light.
In rooms used for sleep during children's bedtime, light must be reduced to no less than one footcandle.
Subp. 12. Program emphasis.
A license holder operating a night care program must comply with the child care program standards in part 9503.0045. However, the child care program plan must emphasize quiet activities.
Subp. 13. Exceptions.
The outdoor activity area, outdoor activities, and outdoor equipment required by part 9503.0060 for children enrolled in a night care program need not be provided.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173
Minn. R. 9503.0075 Drop-in and School-Age Child Care Programs
Subpart 1. Exemptions for drop-in and school-age child care programs.
A license holder operating a drop-in or school-age child care program as defined in part 9503.0015 must comply with parts 9503.0005 to 9503.0170 with the following exceptions:
A. The staff ratios and group size restrictions in part 9503.0040 do not apply and are replaced by the requirements in subparts 2 to 6.
B. Part 9503.0045, subpart 1, items F and G, of the child care program plan do not apply.
C. The requirement in part 9503.0050, subpart 6, that separate bedding be provided for each child in care applies only to those children in care who are less than 30 months old. The provisions in part 9503.0050, subpart 6, requiring washing and cleaning of bedding and blankets remain in effect and apply to all bedding or blankets used by the drop-in child care program.
D. Half the furnishings, equipment, materials, or supplies specified by the following subparts of part 9503.0060 are required:
E. Part 9503.0070, regarding night care programs, does not apply.
F. Part 9503.0090, subpart 2, regarding parent conferences and daily reports, does not apply.
Subp. 2. Supervision.
A drop-in and school-age child care program must:
A. be operated under the supervision of a person who qualifies both as a director under part 9503.0031 and as a teacher under part 9503.0032; and
B. have at least two staff persons present at the center whenever the program is operating even when the ages and numbers of children present are such that the staff-to-child ratio requirements established in subpart 3 could be met by having only one staff person.
Subp. 3. Staff ratios; drop-in programs.
The minimum ratio of staff persons to children that a license holder may maintain in a drop-in program is:
A. for infants ages six weeks through 16 months, one staff person for every four infants;
B. for children ages 17 months through 29 months, one staff person for every seven children; and
C. for children ages 30 months through 12 years, one staff person for every ten children.
Subp. 3a. Staff ratios; school-age programs.
A school age program must maintain a minimum staff ratio as provided in Minnesota Statutes, section 245A.14, subdivision 6, paragraph (f).
Subp. 4. Exception to staff ratio for ages 30 months through 12 years in a drop-in program.
The number of children per staff person specified in subpart 3 for a drop-in program may be increased only with children ages 30 months through 12 years, only by a maximum of four children, and only for a time period, not to exceed 20 minutes, required for additional staff to arrive at the center. A center that exceeds the ratio in subpart 3, item C, must be able to document having staff persons who, as a condition of their employment, are on call to come to the center as needed and arrive at the center within 20 minutes after receiving notification to report.
Subp. 5. Age category grouping; drop-in programs.
Whenever the total number of children present to be cared for at a drop-in child care center is more than 20, the center shall comply with Minnesota Statutes, section 245A.14, subdivision 6, paragraph (e).
Subp. 5a. Care provided to siblings.
A drop-in child care program may group siblings together as provided in Minnesota Statutes, section 245A.14, subdivision 6, paragraph (k).
Subp. 6. Staff distribution.
Staff distributions for drop-in child care programs must meet the requirements in items A and B.
A. If a drop-in child care program serves both infants and older children, the following minimum staff distribution pattern applies for the supervision of infants ages six weeks through 16 months and children ages 17 months through 29 months:
B. The following minimum staff distribution pattern applies for the supervision of children 30 months and older.
History
- Statutory Authority: MS s 14.386; 14.388; c 245A; 252.28; L 1989 c 282 art 2 s 211
- History: 13 SR 173; 14 SR 2533; 30 SR 585
Minn. R. 9503.0080 Exclusion of Sick Children
A child with any of the following conditions or behaviors is a sick child and must be excluded from a center not licensed to operate a sick care program. If the child becomes sick while at the center, the child must be isolated from other children in care and the parent called immediately. A sick child must be supervised at all times. The license holder must exclude a child:
A. with a reportable illness or condition as specified in part 4605.7040 that the commissioner of health determines to be contagious and a physician determines has not had sufficient treatment to reduce the health risk to others;
B. with chicken pox until the child is no longer infectious or until the lesions are crusted over;
C. who has vomited two or more times since admission that day;
D. who has had three or more abnormally loose stools since admission that day;
E. who has contagious conjunctivitis or pus draining from the eye;
F. who has a bacterial infection such as streptococcal pharyngitis or impetigo and has not completed 24 hours of antimicrobial therapy;
G. who has unexplained lethargy;
H. who has lice, ringworm, or scabies that is untreated and contagious to others;
I. who has a 100 degree Fahrenheit axillary or higher temperature of undiagnosed origin before fever reducing medication is given;
J. who has an undiagnosed rash or a rash attributable to a contagious illness or condition;
K. who has significant respiratory distress;
L. who is not able to participate in child care program activities with reasonable comfort; or
M. who requires more care than the program staff can provide without compromising the health and safety of other children in care.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173
Minn. R. 9503.0085 Sick Care Program
Subpart 1. Licensure of sick care programs.
If a license holder chooses to care for a sick child, then the license holder must operate a sick care program that complies with the standards specified by this part and with all other applicable provisions of parts 9503.0005 to 9503.0170, and any standards of the commissioner of health governing the group care of children.
Subp. 2. Review of admission and health policies and practices.
At the time of initial license application, after the first six months of initial operation, and annually after that time, a sick care program's admission policies must be reviewed and approved by a licensed physician with a specialization in pediatric care. The physician's review must include consultation with the licensed registered nurse or physician responsible for admissions. A report of the physician's findings must be sent to the commissioner with the initial application for licensure, and subsequent reports must be placed in the center's administrative record.
The license holder operating a sick care program must ensure that the program's health policies and practices are reviewed quarterly by a health consultant.
Subp. 3. Evaluation of a sick child.
A license holder who operates a sick care program must provide for the evaluation of the condition of a sick child before admitting the child to the center. The evaluation must be based on the physical symptoms of the child each day of admission, the probable contagion and risk to the health of others present, and the ability of the program to provide the care the child requires. A physician or registered nurse affiliated with the center must perform the evaluations specified in items A to C.
A. A preliminary evaluation must be made before the parent brings the child to the center. The preliminary evaluation must consist of the parent's reporting the child's symptoms to the center's physician or registered nurse by phone. The physician or registered nurse must tell the parent whether the parent may bring the child to the center for further evaluation. Children with a communicable reportable illness or condition as specified in part 4605.7040 must be evaluated by a physician prior to admission to the center.
B. The physician or registered nurse must do a physical assessment of the child and obtain a health history from the parent when the child is brought to the center.
C. The decision of the physician or registered nurse not to admit the child for care is final.
Subp. 3a. Illness separation.
Children recovering from a noncontagious condition must be cared for in a room separate from children with contagious conditions.
Subp. 4. Chicken pox.
Children with chicken pox must be excluded from any child care program, including a sick care program, unless care is provided in a room that is separate from other parts of the facility and has its own air circulation system and street entrance.
Subp. 5. Gastrointestinal illness.
Children with gastrointestinal illness must be at least two years old to be in a sick care program and must be cared for in a separate room used exclusively for the care of gastrointestinal illness.
Subp. 6. Information to parents.
A summary of the sick care program's health care policies and practices and the center's procedures for notification of parents in the event of an emergency must be given to the parent at the time a child is admitted.
Subp. 7. Parent conference exception.
Centers licensed to provide child care exclusively to sick children need not provide parent conferences as specified in part 9503.0090, subpart 2, item B.
Subp. 8. Child care program emphasis.
A sick care program must meet the child care program plan standards in part 9503.0045. However, the child care program plan for the care of sick children must emphasize quiet activities.
Subp. 9. Group size and age category grouping exceptions.
The maximum group sizes specified in part 9503.0040, subpart 1, and the age category grouping restrictions in part 9503.0040, subpart 3, are not required except that there must be no more than 16 children in care in a room at the same time and the provisions in subparts 5 and 14 apply.
Subp. 10. Additional staff-to-child ratios and staff distribution requirements.
A one to four staff to child ratio must be maintained at all times in a room used to care for sick children. At least two staff persons must be present in a center operating a sick care program whenever sick children are in care. The first staff person must be a nurse registered by the Board of Nursing to practice professional nursing. The second staff person must meet the qualifications for a teacher in part 9503.0032. The remaining staff persons must at least meet the qualifications and follow the staff distribution pattern specified in part 9503.0040.
Subp. 11. Limitation on staff assignment.
Staff must not care for well children or prepare food for well children on the same day they care for sick children. Staff caring for sick children must not enter the kitchen used to prepare food for well children.
Subp. 12. Food preparation.
Food provided by the license holder and prepared at the center must be prepared in a room separate from rooms where sick care is provided and must be delivered to each sick care room in individual servings and in covered containers. Procedures for preparing, handling, and serving food and washing food, utensils, and equipment must comply with the requirements in chapter 4626.
Subp. 13. Menus.
Menus for sick children must be modified to meet the individual needs of the child.
Subp. 14. Additional facility requirements.
A license holder operating a sick care program must provide:
A. a room or rooms that are exclusively used to care for sick children and that are not used at any time for any other child care purpose; and
B. toilets and hand sinks that are within or immediately adjacent to the room or rooms used for sick care and are not used by well children in care.
Subp. 15. Outdoor activity area, activities and equipment exception.
A license holder operating a sick care program that provides care exclusively to sick children need not provide the outdoor activity area required in part 9503.0155, subpart 7; outdoor activities as specified in part 9503.0045, subpart 1, item I; and the outdoor equipment required in part 9503.0060, subpart 4, item B, subitem (9); subpart 5, item B, subitem (9); and subpart 6, item B, subitems (7) and (11).
Subp. 16. Disinfection.
Walls and floors in rooms where sick care is provided and all linens, furnishings, objects, and equipment used by sick children must be cleaned and disinfected at least daily and as needed.
Subp. 17. Linens and changes of clothing.
All linens used by a sick child must be washed after each use, and each child must be in clean clothing at all times.
Subp. 18. Additional equipment.
Each sick child must be provided with a crib, bed, or cot, two sheets, a pillow, a pillowcase, and a blanket or quilt.
History
- Statutory Authority: MS s 31.01; 31.11; 144.05; 144.08; 144.12; 157.011; 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748; 23 SR 519
Minn. R. 9503.0090 Information for Parents
Subpart 1. Policies given to parents.
At the time of a child's enrollment, the parent must be provided with written notification of the:
A. ages and numbers of children the center is licensed to serve;
B. hours and days of operation;
C. child care program options the center is licensed to operate, including a description of the program's educational methods and religious, political, or philosophical basis, if any, and how parents may review the center's child care program plan;
D. center's policy on parent conferences and notification to a parent of a child's intellectual, physical, social, and emotional development;
E. center's policy requiring a health care summary and immunization record of a child;
F. policies and procedures for the care of children who become sick at the center and parent notification practices for the onset of or exposure to a contagious illness or condition or when there is an emergency or injury requiring medical attention;
G. center's policies and procedures for administering first aid and sources of care to be used in case of emergencies;
H. center's policies on the administration of medicine;
I. procedures for obtaining written parental permission for field trips;
J. procedures for obtaining written parental permission before each occasion of research, experimental procedure, or public relations activity involving a child;
K. center's policies on the provision of meals and snacks;
L. center's behavior guidance policies and procedures;
M. presence of pets;
N. center's policy that parents of enrolled children may visit the center any time during the hours of operation; and
O. telephone number of the Department of Human Services, Division of Licensing.
Subp. 2. Parent conferences and daily reports.
The license holder must ensure that the parent of a child is informed of the child's progress. The license holder must ensure that:
A. individual parent conferences are planned and offered by program staff at least twice a year;
B. documentation is made in the child's record that individual parent conferences were planned and offered;
C. the status of the child's intellectual, physical, social, and emotional development is reported to the parent during the conference; and
D. daily written reports are made to the parent of an infant or toddler about the child's food intake, elimination, sleeping patterns, and general behavior.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748; 30 SR 1216
Minn. R. 9503.0095 Parent Visitation
Parents of enrolled children may visit the center any time during the hours of operation.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173
Minn. R. 9503.0100 Participation in Field Trips
The license holder must ensure that written permission is obtained from each child's parent before taking a child on a field trip. A written permission form must be obtained before each field trip or on a form that annually summarizes all field trips that will be taken. The parent's written permission must state that the parent has been informed of the purpose and destination of the field trip.
On field trips, staff must take emergency phone numbers for the child's parent and the persons to be called if a parent cannot be reached, the phone number of the child's physician, and a first aid kit.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173
Minn. R. 9503.0105 Research and Public Relations Permission
The license holder must ensure that written permission is obtained from a parent before a child is involved in experimental research or public relations activity involving a child while at the center. A separate written permission form must be obtained before each occasion of experimental research or public relations activity or on a form that annually summarizes all research and public relations activities that will be undertaken. The permission form must be maintained in the child's record.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173
Minn. R. 9503.0110 Emergency and Accident Policies and Records
Subpart 1. Policies and records.
The applicant must develop written policies governing emergencies, accidents, and injuries. The license holder must ensure that written records are kept about incidents, emergencies, accidents, and injuries that have occurred.
Subp. 2. Instruction record.
The license holder must keep a record of instruction to all staff persons and, when appropriate, to children and parents, about how to carry out the policies.
Subp. 3. Policy content.
The policies must contain:
A. Procedures for administering first aid.
B. Safety rules to follow in avoiding injuries, burns, poisoning, choking, suffocation, and traffic and pedestrian accidents.
C. Procedures for the daily inspection of potential hazards.
D. Procedures for fire prevention and procedures to follow in the event of a fire. Fire procedures must:
E. Procedures to follow in the event of a blizzard, tornado, or other natural disaster that include the location of emergency shelter, procedures for monthly tornado drills from April to September, and a log of times and dates showing that the drills were held.
F. Procedures to follow when a child is missing.
G. Procedures to follow if an unauthorized person or a person who is incapacitated or suspected of abuse attempts to pick up a child or if no one comes to pick up a child.
H. Sources of emergency medical care.
I. Procedures for recording accidents, injuries, and incidents involving a child enrolled in the center. The written record must contain the name and age of the persons involved; date and place of the accident, injury, or incident; type of injury; action taken by staff; and to whom the accident, injury, or incident was reported.
J. Procedures mandating an annual analysis of the record in item I and any modification of the center's policies based on the analysis.
Subp. 4. Records.
The following records must be maintained in the center's administrative record:
A. the procedures specified in subpart 3;
B. a log of fire and tornado drills; and
C. a written record of accidents, injuries, emergencies, and incidents.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748
Minn. R. 9503.0115 Center Administrative Records
The records required by this part must be maintained within the center and be available for inspection at the request of the commissioner. The license holder must ensure that the following are maintained:
A. a record of the information given to parents specified in part 9503.0090;
B. the personnel records specified in part 9503.0120;
C. the children's records specified in part 9503.0125;
D. the child care program plan specified in part 9503.0045;
E. the accident, injury, emergency, and incident records specified in part 9503.0110;
F. the staff distribution schedule specified in part 9503.0040;
G. the separation reports mandated in part 9503.0055; and
H. the report by the health consultant mandated in part 9503.0140.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748
Minn. R. 9503.0120 Personnel Records
The license holder must ensure that a personnel record for each staff person is maintained at the center. The personnel record for each staff person must contain:
A. the staff person's name, home address, home telephone number, and date of birth;
B. the staff person's documentation indicating that the staff person meets the requirements of the staff person's job position and the education and experience requirements specified in parts 9503.0031 to 9503.0034;
C. documentation that the staff person has completed the orientation to the center required in part 9503.0035, subpart 1;
D. documentation, when applicable, that the staff person has completed the first aid and CPR training required in part 9503.0035, subparts 2 and 3; and
E. documentation of completion of the in-service training required by part 9503.0035, subpart 4, showing the training topic, source of training, number of hours completed, and method used to document mastery of the subject.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748
Minn. R. 9503.0125 Children's Records
At the time of enrollment in the center, the license holder must ensure that a record is maintained on each child. The record must contain:
A. the child's full name, birthdate, and current home address;
B. the name, address, and telephone number of the child's parent;
C. instructions on how the parent can be reached when the child is attending the center;
D. the names and telephone numbers of any persons authorized to take the child from the center;
E. the names, addresses, and telephone numbers of the child's source of regular medical and dental care and the source of medical and dental care to be used in case of an emergency;
F. the names, addresses, and telephone numbers of two persons to be contacted if a parent cannot be reached in an emergency or when there is an injury requiring medical attention;
G. the health form and immunization information required by part 9503.0140;
H. written authorization for the license holder to act in an emergency, or when a parent cannot be reached or is delayed;
I. the hours and days of the week the child will attend the center;
J. for children age six weeks to 36 months, a description of the child's eating, sleeping, toileting, and communication habits, and effective methods for comforting the child;
K. documentation of any dietary or medical needs of the child;
L. documentation of any individual child care program needs for the child; and
M. the date of parent conferences and a summary of the information provided to the parent at the conference. The license holder shall not disclose a child's record to any person other than the child, the child's parent or guardian, the child's legal representative, employees of the license holder, and the commissioner unless the child's parent or guardian has given written consent or as otherwise required by law.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 30 SR 1216
Minn. R. 9503.0130 Reporting
Subpart 1. Abuse; neglect.
The license holder must comply with the reporting requirements for abuse and neglect specified in Minnesota Statutes, chapter 260E.
Subp. 2. Other reporting.
The license holder must inform the commissioner within:
A. 24 hours of the death of a child in care in the center;
B. 24 hours of any injury to a child in care in the center that required treatment by a physician;
C. 48 hours of the occurrence of a fire during the hours of operation that requires the service of a fire department; and
D. 24 hours of the use of any emergency medical service by a child while in care.
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748
Minn. R. 9503.0140 Health
Subpart 1. Health policies.
The license holder must develop written health policies approved by the commissioner and must ensure that they are carried out.
Subp. 2. Health consultation.
The center must have a health consultant who must review the center's health policies and practices specified in items A to C and certify that they are adequate to protect the health of children in care.
The review must be done before initial licensure, submitted with the application for initial licensure and repeated every year after the date of initial licensure. For programs serving infants, this review must be done initially and monthly thereafter. Additionally, the license holder must request a review by the health consultant of the center's health policies and practices if there is a proposed change in the center's health policies or practices or an outbreak of contagious reportable illness as specified in part 4605.7040. A copy of the consultant's findings must be placed in the center's administrative record.
The consultant must review:
A. The first aid and safety policies and procedures required by part 9503.0110, subpart 3, items A, B, and C.
B. The diapering procedures and practices specified in subpart 12.
C. The sanitation procedures and practices for food not prepared by or provided by the license holder as specified in part 9503.0145, subpart 3, and for infants as specified in part 9503.0145, subpart 7.
Subp. 3. Health information at admission.
Before a child is admitted to a center or within 30 days of admission, the license holder must obtain a report on a current physical examination of the child signed by the child's source of medical care.
Subp. 4. Reexamination.
For children already admitted to the center, the license holder shall obtain an updated report of physical examination signed by the child's source of medical care at least annually for children under 24 months of age, and whenever a child 24 months or older advances to an older age category.
Subp. 5. Immunizations.
When a child is enrolled in the center, the license holder must obtain documentation of current immunization according to Minnesota Statutes, section 121A.15, a signed notarized statement of parental objection to the immunization, or a medical exemption.
Subp. 6. Notice about a sick child.
Notices about the illness or condition of a child must be given as required in items A to D:
A. The license holder must ensure that a parent is notified immediately when the parent's child becomes sick at the center.
B. The license holder must require a parent to inform the center within 24 hours, exclusive of weekends and holidays, when a child is diagnosed by a child's source of medical or dental care as having a contagious reportable disease specified in part 4605.7040, or lice, scabies, impetigo, ringworm, or chicken pox.
C. The license holder must post or give a notice to the parents of exposed children the same day a parent notifies the center of a child's illness or condition listed in item B.
D. The license holder must ensure that the health authority is notified of any suspected case of reportable disease as specified in part 4605.7040 within 24 hours of receiving the parent's report.
Subp. 7. Administration of medicine.
A license holder who chooses to administer medicine must ensure that the procedures in items A to E are followed.
A. The license holder must get written permission from the child's parent before administering medicine, diapering products, sunscreen lotions, and insect repellents. Nonprescription medicines, diapering products, sunscreen lotions, and insect repellents must be administered according to the manufacturer's instructions unless there are written instructions for their use provided by a licensed physician or dentist.
B. The license holder must get and follow written instructions from a licensed physician or dentist before administering each prescription medicine. Medicine with the child's name and current prescription information on the label constitutes instructions.
C. All medicine must be kept in its original container and have a legible label stating the child's name. The medicine must be given only to the child whose name is on the label. The medicine must not be given after an expiration date on the label, and any unused portion must be returned to the child's parent or destroyed. The license holder must ensure that the administration of medicine is recorded and give the name of the child, name of the medication or prescription number, date, time, dosage, and the name and signature of the person who dispensed the medicine. The record must be available to the parent and maintained in the child's record.
D. Sunscreen lotions and insect repellents supplied by the license holder may be used on more than one child. A product to control or prevent diaper rash, including premoistened commercial wipes that cannot be dispensed in a manner that prevents cross contamination of the product and container as determined by the health consultant, must be labeled with the child's name and used only for the individual child whose name is written on the label.
E. Medicines, insect repellents, sunscreen lotions, and diaper rash control products must be stored according to directions on the original container and so that they are inaccessible to children.
Subp. 8.
[Repealed, 18 SR 2748]
Subp. 9. Cleanliness.
The indoor and outdoor space and equipment of the center must be clean.
Subp. 10. Toilet facilities.
The toilet rooms of the center must be cleaned daily. Toilet training chairs must be emptied, washed with soap and water, and disinfected after each use. Toilets and seats must be washed with soap and water and disinfected when soiled or at least daily.
Subp. 11. Diaper changing area.
A diaper must be changed only in the diaper changing area. The diaper changing area must be separate from areas used for food storage, food preparation, and eating. The area must have a hand sink equipped with hot and cold running water within three feet of the diaper changing surface, a smooth nonabsorbent diaper changing surface and floor covering, and a sanitary container for soiled and wet diapers.
Subp. 12. Diaper changing procedures.
The center must have and follow diaper changing procedures that have been developed in consultation with a health consultant. The license holder must post the diaper changing procedures in the diaper changing area.
Subp. 13. Hand washing: child.
A child's hands must be washed with soap and water after a diaper change, after use of a toilet or toilet training chair, and before eating a meal or snack. Staff must monitor hand washing and assist a child who needs help. The use of a common basin or a hand sink filled with standing water is prohibited.
Subp. 14. Hand washing: staff person.
A staff person must wash his or her hands with soap and water after changing a child's diaper, after using toilet facilities, and before handling food or eating.
Subp. 15. Toilet articles.
The license holder shall provide the following supplies and make them accessible to children: toilet paper, liquid hand soap, facial tissues, and single use paper towels or warm air hand dryers.
Subp. 16. First aid kit.
The license holder must ensure that a first aid kit is available within the center. The kit must contain sterile bandages and band-aids, sterile compresses, scissors, an ice bag or cold pack, an oral or surface thermometer, and adhesive tape. A current first aid manual must be included. The first aid kit and manual must be accessible to the staff in the center and taken on field trips.
Subp. 17. Hazardous objects.
Sharp objects, medicines, plastic bags, and poisonous plants and chemicals, including household supplies, must be stored out of reach of children.
Subp. 18. Emergency equipment.
The center must have a battery operated flashlight and battery operated portable radio.
Subp. 19. Condition of equipment and furniture.
Equipment and furniture must be durable, in good repair, structurally sound and stable following assembly and installation. Equipment must be free of sharp edges, dangerous protrusions, points where a child's extremities could be pinched or crushed, and openings or angles that could trap part of a child's body. Tables, chairs, and other furniture must be appropriate to the age and size of children who use them. Toys and equipment that are likely to be mouthed by infants and toddlers must be made of a material that can be disinfected. These must be cleaned and disinfected when mouthed or soiled and at least daily.
Infant rattles must meet the United States consumer product safety standards contained in the Code of Federal Regulations, title 16, sections 1510.1 to 1510.4, as adopted on May 23, 1978. All toys and other articles intended for use by children under three years of age that present choking, aspiration, or ingestion hazards because of small parts must meet the size standards in Code of Federal Regulations, title 16, sections 1501.1 to 1501.5, as adopted on June 15, 1979.
Subp. 20. Maintenance of areas used by children.
The areas used by children must be free from debris, loose flaking, peeling, or chipped paint, loose wallpaper, or crumbling plaster, litter, and holes in the walls, floors, and ceilings. Rugs must have a nonskid backing or be firmly fastened to the floor and be free from tears, curled or frayed edges, and hazardous wrinkles.
Subp. 21. Emergencies.
The license holder must ensure that written procedures for emergencies and accidents are posted in a visible place. The procedures must:
A. identify persons responsible for each area;
B. identify primary and secondary exits;
C. identify a tornado shelter area;
D. identify building evacuation routes;
E. describe how to use a fire extinguisher and close off the fire area; and
F. list the phone numbers and sources of emergency medical and dental care, poison control center, fire department, health authority, and licensing division of the Department of Human Services.
Subp. 22. Pets.
If pets are permitted at the center, parents must be informed at the time of admission that a pet is present.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748; L 1998 c 397 art 11 s 3; 30 SR 1216
Minn. R. 9503.0145 Food and Water
Subpart 1. Food.
The license holder must see that meals and supplemental snacks are available. Bag lunches provided by the parent are acceptable as specified in subpart 4.
Subp. 2. Menus.
When food is provided by the license holder, menus must comply with the nutritional requirements of the United States Department of Agriculture, Food and Nutrition Service, Code of Federal Regulations, title 7, section 226.20.
Subp. 3. Sanitation.
Procedures for preparing, handling, and serving food, and washing food, utensils, and equipment must comply with the requirements for food and beverage establishments in chapter 4626. If the food is prepared off site by another facility or if food service is provided according to a contract with a food service provider, the facility or license holder must ensure that food is prepared in compliance with chapter 4626. The license holder must provide refrigeration for dairy products and other perishable foods, whether supplied by the license holder or supplied by the parent. The refrigeration must have a temperature of 40 degrees Fahrenheit or less. Tables and highchair trays used for meals must be washed with soap and water before and after each use.
Subp. 4. Meals and snacks.
Each meal must provide one-third of the child's daily nutritional needs as specified by the United States Department of Agriculture, Food and Nutrition Service, in Code of Federal Regulations, title 7, section 226.20. The license holder must provide or ensure the availability of:
A. a snack for a child in attendance for more than two hours, but fewer than five hours;
B. one meal and two snacks or two meals and one snack for a child in attendance five to ten hours unless four or more of these hours are spent in sleep;
C. a minimum of two meals and two snacks for a child in attendance more than ten hours unless four or more of these hours are spent in sleep; and
D. program staff who are seated with the children during meal and snack times.
Subp. 5. Prescribed diet needs.
The license holder must provide for a child's dietary needs prescribed by the child's source of medical care or require the parent to provide the prescribed diet items that are not part of the menu plan approved in subpart 2. A license holder serving a child who has a prescribed diet must keep the diet order and its duration specified in the child's record. All staff designated to provide care to the child must be informed of the diet order.
Subp. 6. Food allergy information.
Information about food allergies of the children in the center must be available in the area where food is prepared or served to children with allergies. All staff providing care to the child must be informed of the allergy.
Subp. 7. Infant diets.
The diet of an infant must be determined by the infant's parent. The license holder must ensure that sanitary procedures and practices are used to prepare, handle, and store formula, milk, breast milk, solid foods, and supplements. Procedures must be reviewed and certified by a health consultant. A center serving infants must:
A. obtain written dietary instructions from the parent of the child;
B. have the infant's feeding schedule available in the food preparation area;
C. offer the child formula or milk and nutritionally adequate solid foods in prescribed quantities at specified time intervals; and
D. label each child's bottle.
Subp. 8. Water.
The center must have a safe water supply. A center that uses water from a privately owned well that is not governed by chapter 4720 must be tested annually by a Minnesota Health Department certified laboratory for coliform bacteria and nitrate nitrogens to verify safety. The license holder must ensure that a record of the test results is in the center's administrative record. The commissioner of health may issue an advisory order for retesting and corrective measures.
Drinking water must be available to children throughout the hours of operation and offered at frequent intervals. Drinking water for children must be provided in single service drinking cups or from drinking fountains accessible to children.
History
- Statutory Authority: MS s 31.101; 31.11; 144.05; 144.08; 144.12; 157.011; 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748; 23 SR 519
Minn. R. 9503.0150 Transportation
A license holder who provides transportation for children or contracts to provide transportation must comply with the following transportation policies:
A. The vehicle must be driven by a person who holds a current Minnesota driver's license appropriate to the vehicle driven.
B. Staff ratios must be maintained on all transportation provided on all field trips.
C. When children are driven in a private car or van, a second adult must be present when more than four children under the age of five are being transported.
D. When the license holder provides transportation to and from the center, a second adult must be present in the vehicle and children must not be transported more than one hour per one-way trip. A two-way communication system can be used in lieu of a second adult when ten or fewer children are being transported.
E. When children are transported, they must be restrained in accordance with Minnesota Statutes, section 169.686, and a child under the age of four may be transported only if the child is properly fastened in a child passenger restraint system that meets the federal motor vehicle safety standards contained in Code of Federal Regulations, title 49, section 571.213.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748
Minn. R. 9503.0155 Facility
Subpart 1. Occupancy designation.
In areas of the state that have adopted the Minnesota State Building Code, the applicant must comply with the standards specified by the code if the application is an initial one. In those areas of the state that have not adopted the Minnesota State Building Code, an applicant for licensure must comply with any applicable local building ordinances if the application is an initial one. The commissioner must not grant an initial license until written verification of compliance with the State Building Code or local building ordinance, when applicable, has been received by the commissioner from the building official with jurisdiction.
Subp. 2. Fire inspection.
The center must be inspected by a fire marshal within 12 months before initial licensure. The commissioner must not grant an initial license until the commissioner has received written approval of compliance with the Minnesota Uniform Fire Code from the fire marshal with jurisdiction.
Subp. 3. Reinspection for cause.
If the commissioner has reasonable cause to believe that a potential hazard exists, the commissioner may request another inspection and written report by a fire marshal, building official, or health authority to verify the absence of hazard.
Subp. 4. Facility floor plan and designated areas.
Indoor and outdoor space to be used for child care must be designated on a facility floor plan. This space must be exclusively used for child care by the center during the hours of operation. The initial application for licensure and the center's administrative record must contain a floor plan of the center. Precise scale drawings are not required. The plan must indicate the:
A. dimensions and location of all areas of the center designated for the provision of child care;
B. planned use of each area; and
C. size and location of areas used for outdoor activity.
Subp. 5. Child's personal storage space.
A center must have storage space for each child's clothing and personal belongings. The space must be at a height appropriate to the age of the child.
Subp. 6. Space for children who become sick.
Space must be provided in the center for a child who becomes sick at a center not licensed to operate a sick care program under part 9503.0085. The space must be separate from activity areas used by other children. A cot and blanket must be provided. The space must be within sight and hearing of a staff person and supervised by a staff person when occupied by a sick child.
Subp. 7. Outdoor activity area.
An outdoor activity area that complies with the following items must be provided or available for all child care programs except those licensed to exclusively provide sick care as specified in part 9503.0085, drop in care as specified in part 9503.0075, and those operating for less than three hours a day.
A. A center must have an outdoor activity area of at least 1,500 square feet, and there must be at least 75 square feet of space per child within the area at any given time during use.
B. An outdoor activity area used daily by children under school age must be within 2,000 feet of the center or transportation must be provided by the license holder. In no case, however, shall the outdoor activity area be farther than one-half mile from the center.
C. The area must be enclosed if it is located adjacent to a traffic, rail, water, machinery, or other environmental hazard, unless the area is a public park or playground.
D. The area must be free of litter, rubbish, toxic materials, water hazard, machinery, animal waste, and sewage contaminants.
E. The area must contain the outdoor large muscle equipment required by part 9503.0060.
Subp. 8.
[Repealed, L 2019 1Sp9 art 2 s 134]
Subp. 9. Indoor space.
The licensed capacity of the center must be limited by the amount of indoor space. A minimum of 35 square feet of indoor space must be available for each child in attendance. Hallways, stairways, closets, utility rooms, lavatories, water closets, kitchens, and space occupied by cribs may not be counted as indoor space. Twenty-five percent of the space occupied by furniture or equipment used by staff or children may be counted as indoor space.
Subp. 10. Shielding of hot surfaces.
Radiators, fireplaces, hot pipes, and other hot surfaces in areas used by children must be shielded or insulated to prevent burns.
Subp. 11. Electrical outlets.
Except in a center that serves only school-age children, electrical outlets must be tamper proof or shielded when not in use.
Subp. 12. Water hazards.
Bodies of water within or adjacent to the center must be inaccessible to children. When using a pool or beach, children must be supervised at all times.
Subp. 13. Room temperature.
A minimum temperature of 68 degrees Fahrenheit must be maintained in indoor areas used by children.
Subp. 14.
[Repealed, 18 SR 2748]
Subp. 15. Hazardous areas.
Kitchens, stairs, and other hazardous areas must be inaccessible to children except during periods of supervised use.
Subp. 16. Fire extinguisher inspection.
Fire extinguishers must be serviced annually by a qualified inspector. The name of the inspector and date of the inspection must be written on a tag attached to the extinguisher.
Subp. 17. Screens.
Outside doors and windows used for ventilation must be screened to provide protection from insects.
Subp. 18. Toilets and hand sinks.
Toilets and hand sinks must be provided as specified in items A to G:
A. The center must have at least one hand sink and one toilet for each 15 children or portion of 15 children specified in the licensed capacity. One toilet training seat or training chair must be provided for every 15 toddlers specified in the licensed capacity. Any hand sink required for children, other than infants, must be in the toilet area.
B. In newly constructed centers or those undergoing major remodeling to the plumbing system, foot or wrist operated sinks must be provided in the diaper changing area.
C. Hand sinks for children must not be used for custodial work or food preparation.
D. The temperature of hot water in the hand sinks used by children must not exceed 120 degrees Fahrenheit.
E. Single service towels or air dryers must be available to dry hands and designed for easy use by the children.
F. Toilets, sinks, faucets, and hand drying devices in the toilet area used by children under school age other than infants must be placed at a height appropriate to the ages of the children.
G. Portable steps may be used to meet the requirement in item F for toddlers and preschoolers, if the steps are sturdy and washable.
History
- Statutory Authority: MS s 245A.02; 245A.09; 252.28
- History: 13 SR 173; 18 SR 2748; L 2019 1Sp9 art 2 s 134
Minn. R. 9503.0170 Licensing Process
Subpart 1. License required.
A person, corporation, partnership, voluntary association, or other organization may not operate a child care program in a center unless licensed by the commissioner under parts 9503.0005 to 9503.0170 and Minnesota Statutes, chapter 245A.
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3. Posting license.
A license holder must post the license in a conspicuous place within the child care center.
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7.
[Repealed, L 1997 c 248 s 51 subd 3]
History
- Statutory Authority: MS c 245A; 252.28; L 1989 c 282 art 2 s 211
- History: 13 SR 173; 14 SR 2533; 18 SR 2748; L 1997 c 248 s 51 subd 3; L 2010 c 382 s 86
Minn. R. 9503.0175 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Chapter 9505 HEALTH CARE PROGRAMS
Minn. R. 9505.0010 Applicability
Parts 9505.0010 to 9505.0140 govern the administration of the medical assistance program and establish the standards used to determine the eligibility of an individual to participate in the medical assistance program.
These parts must be read in conjunction with title XIX of the Social Security Act; Code of Federal Regulations, title 42; Minnesota Statutes, chapter 256B, and sections 256.01, subdivision 2, clauses (1) and (14), 256.01, subdivision 4, clause (4), 256.011, 256.045, and 256.98.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0011 Administration
Subpart 1. Compliance with state and federal law.
The commissioner shall cooperate with the federal government in order to qualify for federal financial participation in the medical assistance program. All persons should be aware that parts 9505.0010 to 9505.0140 of the medical assistance program may be superseded by a change in state or federal law or by a court order prior to the agency having an opportunity to amend these rules.
Subp. 2. Administrative relationships.
The medical assistance program is administered by local agencies under the supervision of the commissioner. The commissioner shall supervise the medical assistance program on a statewide basis so that local agencies comply with the standards of the program.
A local agency shall provide fair and equal treatment to an applicant or recipient according to statewide policies. The commissioner is authorized to correct a policy or practice that conflicts with statewide program requirements. A local agency shall comply with procedures and forms prescribed by the commissioner in bulletins and manuals insofar as they are consistent with parts 9505.0010 to 9505.0140.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0015 Definitions
Subpart 1. Applicability.
For the purposes of parts 9505.0010 to 9505.0140, the following terms have the meanings given to them in this part.
Subp. 2.
[Repealed, 26 SR 977]
Subp. 3. Applicant.
"Applicant" means a person who submits a written application to the local agency for a determination of eligibility for medical assistance.
Subp. 4. Application.
"Application" means the applicant's written request for medical assistance as provided in part 9505.0085.
Subp. 5. Application date.
"Application date" means the day on which a local agency or a designated representative of the commissioner receives, during normal working hours, a written request for medical assistance consisting of at least the name of the applicant, a means to locate the applicant, and signature of the applicant, provided the completed application form required in part 9505.0085 is submitted to the local agency within 30 days of the written request.
Subp. 6. Asset.
"Asset" means any property that is owned and has monetary value. Examples of assets are negotiable instruments including cash or bonds, real and personal property, and rights that a person has in tangible or intangible property.
Subp. 7.
[Repealed, 26 SR 977]
Subp. 8. Authorized representative.
"Authorized representative" means an individual authorized by the applicant or recipient to apply for medical assistance or perform duties required of the applicant or recipient by parts 9505.0010 to 9505.0140 on that person's behalf.
Subp. 9. Commissioner.
"Commissioner" means the commissioner of human services or the commissioner's designated representative.
Subp. 10.
[Repealed, 26 SR 977]
Subp. 11. County of service.
"County of service" means the county where the applicant or recipient resides. However, if the applicant or recipient resides in a state hospital, the county of service is the county of financial responsibility.
Subp. 12. Department.
"Department" means the Department of Human Services.
Subp. 13. Earned income.
"Earned income" means wages, salary, commission, or other benefits received by a person as monetary compensation from employment or self-employment.
Subp. 14. Eligibility factors.
"Eligibility factors" means all the conditions, limits, standards, and required actions in parts 9505.0010 to 9505.0120 that the applicant or recipient must satisfy in order to be eligible for medical assistance.
Subp. 15.
[Repealed, 26 SR 977]
Subp. 16. General assistance medical care or GAMC.
"General assistance medical care" or "GAMC" means the program established under Minnesota Statutes, section 256D.02, subdivision 4a.
Subp. 17. Gross earned income.
"Gross earned income" means all earned income before any deduction, disregard, or exclusion.
Subp. 18. Gross income.
"Gross income" means all earned and unearned income before any deduction, disregard, or exclusion.
Subp. 19. Health maintenance organization.
"Health maintenance organization" means a corporation as defined in Minnesota Statutes, section 62D.02, subdivision 4.
Subp. 20. Health services.
"Health services" means the services and supplies furnished to a recipient by a provider for a health related purpose as specified in Minnesota Statutes, sections 256B.02, subdivision 8 and 256B.0625.
Subp. 21. Hospital.
"Hospital" means an acute care institution licensed under Minnesota Statutes, sections 144.50 to 144.58, defined in Minnesota Statutes, section 144.696, subdivision 3, and maintained primarily for the treatment and care of persons with disorders other than tuberculosis or mental diseases.
Subp. 22. Income.
"Income" means cash or other benefits, whether earned or unearned, received by or available to an applicant or recipient and not determined to be an asset under parts 9505.0058 to 9505.0064 or part 9505.0065.
Subp. 23. In-kind income.
"In-kind income" means a benefit other than cash that provides food, shelter, clothing, transportation, or health service and is not determined to be an asset under parts 9505.0058 to 9505.0064 or part 9505.0065.
Subp. 24. Inpatient.
"Inpatient" means a person who has been admitted to an inpatient hospital and has not yet been formally discharged. Inpatient applies to a person absent from a hospital on a pass ordered by a physician. For purposes of this definition, a person absent from the hospital against medical advice is not an inpatient during the absence.
Subp. 25. Life estate.
"Life estate" means an interest in real property with the right of use or enjoyment limited to the life or lives of one or more human beings that is not terminable at any fixed or computable period of time.
Subp. 26.
[Repealed, 26 SR 977]
Subp. 27. Local agency.
"Local agency" means a county or multicounty agency that is authorized under Minnesota Statutes, sections 393.01, subdivision 7 and 393.07, subdivision 2, as the agency responsible for determining eligibility for the medical assistance program. "Local agency" is used in parts 9505.0010 to 9505.0140 to refer to the local agency of the county of service unless otherwise specified.
Subp. 28. Long-term care facility.
"Long-term care facility" means a residential facility certified by the Minnesota Department of Health as a skilled nursing facility or as an intermediate care facility including an intermediate care facility for persons with developmental disabilities.
Subp. 29.
[Repealed, 26 SR 977]
Subp. 30.
[Repealed, 26 SR 977]
Subp. 31. Medical assistance or MA.
"Medical assistance" or "MA" means the program established under title XIX of the Social Security Act and Minnesota Statutes, chapter 256B.
Subp. 32. Medicare.
"Medicare" means the health insurance program for the aged and disabled under title XVIII of the Social Security Act.
Subp. 33. Minnesota supplemental aid or MSA.
"Minnesota supplemental aid" or "MSA" means the program established under Minnesota Statutes, sections 256D.33 to 256D.54.
Subp. 34. Net income.
"Net income" means the income remaining after applicable disregards, exclusions, and deductions are subtracted from gross income.
Subp. 35.
[Repealed, 26 SR 977]
Subp. 36. Parent.
"Parent" means the birth or adoptive mother or father of a child.
Subp. 37. Person.
"Person" means an applicant or recipient of medical assistance.
Subp. 38. Prior authorization.
"Prior authorization" means the written approval and issuance of an authorization number by the department to a provider before the provision of a covered health service, as specified in part 9505.5010.
Subp. 39. Provider.
"Provider" means a vendor as specified in Minnesota Statutes, section 256B.02, subdivision 7, that has signed an agreement approved by the department for the provision of health services to a recipient.
Subp. 40. Real property.
"Real property" means land and all buildings, structures, and improvements or other fixtures on it, all rights and privileges belonging or appertaining to it, all manufactured homes attached to it on permanent foundations, and all trees, mines, minerals, quarries, and fossils on or under it.
Subp. 41. Recipient.
"Recipient" means a person who has been determined by the local agency to be eligible for the medical assistance program.
Subp. 42. Residence.
"Residence" means the place a person uses, and intends to continue to use for the indefinite future, as his or her primary dwelling place.
Subp. 43.
[Repealed, 26 SR 977]
Subp. 44. Spenddown.
"Spenddown" means the process by which a person who has income in excess of the income standard allowed under part 9505.0065, subpart 1 becomes eligible for medical assistance as a result of incurring medical expenses that are not covered by a liable third party and that reduce the excess income to zero.
Subp. 45. State medical review team.
"State medical review team" means those physicians and social workers who are under contract with the department to review a medical and social history to determine a person's disability within the scope of the regulations of the Social Security Administration.
Subp. 46. Third-party payer.
"Third-party payer" refers to a person, entity, agency, or government program other than Medicare or the medical assistance program, that has a probable obligation to pay all or part of the costs of a recipient's health services. Examples are an insurance company, health maintenance organization, the Civilian Health and Medical Program of the Uniformed Services (CHAMPUS), workers' compensation, and defendants in legal actions arising out of an accidental or intentional tort.
Subp. 47. Title XIX state plan.
"Title XIX state plan" refers to the document submitted for approval to the Centers for Medicare and Medicaid Services defining the conditions of medical assistance program eligibility and services authorized by title XIX of the Social Security Act and Minnesota Statutes, chapter 256B.
Subp. 48. Unearned income.
"Unearned income" means income other than earned income as defined in subpart 13.
Subp. 49. Wrongfully obtaining assistance.
"Wrongfully obtaining assistance" means:
A. action by an applicant or recipient of willfully or intentionally withholding, concealing, or misrepresenting information which results in a person's receipt of medical assistance in excess of the amount for which he or she is eligible under the program and the eligibility basis claimed by the applicant or recipient;
B. receipt of real or personal property by an individual without providing reasonable compensation and for the known purpose of creating an applicant's or recipient's eligibility for medical assistance; or
C. action by an individual of conspiring with or knowingly aiding or abetting an applicant or recipient to wrongfully obtain medical assistance.
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 12 SR 1148; L 1988 c 689 art 2 s 268; 26 SR 977; L 2002 c 277 s 32; L 2005 c 56 s 2
Minn. R. 9505.0016 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0020 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0030 Residency Requirements
Subpart 1. Minnesota residency required.
Eligibility for medical assistance is limited to Minnesota residents or persons presumed to be Minnesota residents under Code of Federal Regulations, title 42, section 435.403. A Minnesota resident is:
A. a person who establishes a residence in Minnesota during the month for which eligibility is considered and who is not eligible for or receiving medical assistance from another state;
B. a person who is determined to be a Minnesota resident under Code of Federal Regulations, title 42, section 435.403; or
C. a migrant worker as specified in Minnesota Statutes, section 256B.06, subdivision 3.
Subp. 2.
[Repealed, 26 SR 977]
Subp. 3.
[Repealed, 26 SR 977]
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 26 SR 977
Minn. R. 9505.0040 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0044 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0045 Residents of Institutions for Treatment of Mental Diseases
A resident of an institution for the treatment of mental diseases is eligible for medical assistance only if the resident is receiving inpatient psychiatric care in a psychiatric facility accredited by the joint commission on accreditation of hospitals, and meets one of the following conditions: is a person under 21 years of age; or a person 21 years of age but less than 22 years of age who has been receiving inpatient psychiatric care continuously since the resident's 21st birthday; or is a person at least 65 years of age. Notwithstanding the other provisions of parts 9505.0010 to 9505.0140, a person in an institution for the treatment of mental diseases who is over 21 years of age but less than 65 years of age is only eligible for health services before the date of admittance and after the date of discharge from an institution for the treatment of mental diseases. For purposes of this part, "institution for the treatment of mental diseases" means those facilities defined in Code of Federal Regulations, title 42, section 435.1009.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069; 26 SR 977
Minn. R. 9505.0050 Persons Detained by Law
A person, regardless of age, who is detained by law in the custody of a correctional or detention facility as a person accused or convicted of a crime is not eligible for medical assistance. A resident of a correctional facility who is furloughed by the corrections system to a medical facility for treatment or to a residential habilitation program or halfway house without a formal release on probation, parole, bail, his or her own recognizance, or completion of sentence or a finding of not guilty is not eligible for medical assistance.
A person admitted as an inpatient to a hospital on a hold order issued on a civil basis is not considered detained by law.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0055 Effect of Public Assistance Status on Medical Assistance Eligibility
Subpart 1.
[Repealed, 26 SR 977]
Subp. 2.
[Repealed, 26 SR 977]
Subp. 3.
[Repealed, 26 SR 977]
Subp. 4.
[Repealed, 26 SR 977]
Subp. 5. Child in foster care.
A child whose foster care is paid under title IV-E of the Social Security Act is eligible for medical assistance upon application and verification of foster care status.
Subp. 6. Person receiving supplemental security income.
A person receiving supplemental security income must make a separate application for the medical assistance program except as in subpart 1.
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; L 1994 c 631 s 31; 26 SR 977
Minn. R. 9505.0058 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0059 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0060 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0061 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0062 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0063 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0064 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0065 Income
Subpart 1. Income eligibility standard.
Income becomes an asset if it is retained beyond the month in which it is received.
Subp. 2.
[Repealed, 26 SR 977]
Subp. 3.
[Repealed, 26 SR 977]
Subp. 4.
[Repealed, 26 SR 977]
Subp. 5.
[Repealed, 26 SR 977]
Subp. 6.
[Repealed, 26 SR 977]
Subp. 7.
[Repealed, 26 SR 977]
Subp. 8.
[Repealed, 26 SR 977]
Subp. 9.
[Repealed, 26 SR 977]
Subp. 10.
[Repealed, 26 SR 977]
Subp. 11.
[Repealed, 26 SR 977]
Subp. 12.
[Repealed, 26 SR 977]
History
- Statutory Authority: MS s 252.28; 256B.04; 256B.092; 256B.503; L 2000 c 340 s 17
- History: 11 SR 1069; 12 SR 1148; L 1988 c 689 art 2 s 268; L 1994 c 631 s 31; 26 SR 977
Minn. R. 9505.0070 Third-Party Liability
Subpart 1. Definition.
For purposes of parts 9505.0070 and 9505.0071, "assignment" or "assignment of benefits" means the written authorization by a person, the person's authorized representative, a policyholder, or other authorized representative, to transfer to another individual, entity, or agency his or her right or the rights of his or her dependents to medical care support or other third-party payments.
Subp. 2. Third-party payer; primary coverage.
A third-party payer who is liable to pay all or part of the cost of a health service provided to a medical assistance applicant or recipient shall be the primary payer. The third party payer's coverage of or liability for a health service provided to a medical assistance applicant or recipient must be used to the fullest extent available before a medical assistance payment is made on the recipient's behalf.
Subp. 3. Provider responsibility to obtain information and assignment of benefits.
The provider shall obtain information about the recipient's potential health service coverage by a third party payer from the recipient, from the recipient's responsible relative, or from the remittance advice provided by the department upon rejection of a claim because of the department's identification of a potential third-party payer. Further, the provider may obtain an assignment of benefits from the recipient, policyholder, or other authorized individual or representative. In the case of a dependent child insured under a policy held by a parent or other individual who does not have custody of the child, the provider may obtain the assignment from the individual who has custody of the child.
Subp. 4. Provider billing; third party.
When a provider is informed by a recipient, the recipient's responsible relative or authorized representative, a local agency, or the department that the recipient has health service coverage by a third-party payer, the provider shall bill the third-party payer before seeking medical assistance payment for the health service.
Subp. 5. Provider billing; department.
Except as in subpart 7, the provider shall not submit a claim for medical assistance payment until receiving from the third-party payer payment, partial payment, or notice that the claim has been denied. A provider may submit a claim for medical assistance payment for the difference between the amount paid by the third party and the amount payable by medical assistance in the absence of other coverage. However, no medical assistance payment will be made to a provider under contract with a private health coverage plan when the private health coverage plan calls for the provider to accept the plan's payment as payment in full. The provider who submits a claim for medical assistance payment by the department after a third-party payer has paid part of the claim or denied the claim shall submit with the claim the additional information or records required by the department to document the reason for the partial payment or denial.
Subp. 6. Time limit for submission of claims.
A provider must submit claims to the department according to the 12-month billing requirement in part 9500.1080, subpart 2.
Subp. 7. Provider billing; third party failure to respond.
A provider who has not received either a payment or denial notice from a third-party payer within 90 days after submitting the claim for payment may bill the medical assistance program. The provider shall submit to the department, no later than 12 months after the date of service to the recipient, a copy of the original claim to the third-party payer, documentation of two further attempts to contact the third-party payer, and any written communication the provider has received from the third-party payer.
Subp. 8. Recovery of payments to recipients.
Notwithstanding part 9500.1080, subpart 1, a provider may bill a recipient to recover the amount of a payment received by a recipient from a third-party payer. The department is liable only to the extent that the amount payable by medical assistance exceeds the third-party liability.
Subp. 9.
[Repealed, 26 SR 977]
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 26 SR 977
Minn. R. 9505.0071 Assignment of Rights
Subpart 1. Notification to local agency.
A person or the person's authorized representative shall notify the local agency of the availability of third-party payer coverage at the time of application, at the time of an eligibility redetermination, and within ten days of a change in potential coverage.
Subp. 2. Assignment of benefits.
All legally able medical assistance applicants and recipients shall assign to the department their rights and the rights of their dependent children to benefits from liable or potentially liable third-party payers. An applicant or recipient who refuses to assign to the department his or her own rights or those of any other person for whom he or she can legally make an assignment is ineligible for medical assistance. A person who is otherwise eligible for medical assistance shall not have his or her eligibility denied or delayed because he or she can not legally assign his or her own rights and the individual legally able to make the assignment refuses to assign the rights.
Subp. 3.
[Repealed, 26 SR 977]
Subp. 4.
[Repealed, 26 SR 977]
Subp. 5. Good cause exemption.
Before requiring an individual to cooperate in obtaining medical care support or payments for other persons not covered by subpart 4, a local agency shall notify the individual that he or she may claim a good cause exemption from the requirements of subpart 3 at the time of application or at any subsequent time. When an individual submits a good cause claim in writing, the individual shall submit corroborative evidence of the good cause claims to the local agency within 20 days of submitting the claim. The local agency must send the claim and the corroborative evidence to the department and must stop action related to obtaining medical care support and payments.
A. Good cause exists when cooperation is against the best interests of the individual or other person to whom medical assistance is being furnished because it is anticipated that cooperation will result in reprisal against and cause physical or emotional harm to the individual or other person.
B. The local agency shall provide reasonable assistance to an individual who has difficulty getting the evidence to support a good cause claim. When a local agency or the department requires additional evidence to make a determination on the claim for good cause, the local agency or department shall notify the individual that additional evidence is required, explain why the additional evidence is required, identify what form this evidence might take, and specify an additional period that will be allowed to obtain it.
C. The department shall determine whether good cause exists based on the weight of the evidence.
D. When the department determines that good cause exists, the exemption from cooperation under subpart 3, must remain in effect for the period the person remains eligible under that application. A good cause exemption must be allowed under subsequent applications without additional evidence when the factors which led to the exemption continue to exist. A good cause exemption allowed under this subpart must end when the factors which led to allowing the exemption have changed.
E. When the department denies a claim for a good cause exemption and enforcement action resumes, the individual must submit additional evidence in support of any later claim for a good cause exemption before the department or local agency can again stop action to obtain medical care support or payments under subpart 3.
F. Following a determination that an individual has good cause for refusing to cooperate, a local agency and the department shall take no further action to obtain medical care support or payments until the good cause exemption ends under item D.
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 26 SR 977
Minn. R. 9505.0075 Repealed by subpart
Subpart 1.
[Repealed, 26 SR 977]
Subp. 2.
[Repealed, 26 SR 977]
Subp. 3.
[Repealed, 26 SR 977]
Subp. 4.
[Repealed, 16 SR 2780]
Subp. 5.
[Repealed, 26 SR 977]
Subp. 6.
[Repealed, 26 SR 977]
Subp. 7.
[Repealed, 26 SR 977]
Subp. 8.
[Repealed, 26 SR 977]
Subp. 9.
[Repealed, 26 SR 977]
Subp. 10.
[Repealed, 26 SR 977]
Minn. R. 9505.0080 Cooperation with Quality Control Review
Subpart 1. Cooperation required.
A recipient, or the recipient's authorized representative or guardian, shall cooperate with the department's quality control review process by providing information necessary to verify the recipient's eligibility for medical assistance. In order to continue a recipient's eligibility, the recipient, representative, or guardian must:
A. agree to a personal interview with the quality control staff person at a mutually acceptable time and location; and
B. assist the quality control staff person in securing verifications necessary to establish eligibility for the month of review, provided verifications do not duplicate what is already in the case record and do not cause the recipient to incur an expense in securing those verifications.
Subp. 2. Consequences of failure to cooperate.
Failure to cooperate with the quality control review process without good cause shall result in termination of assistance. A person has good cause under this subpart if the person's refusal to cooperate stems from a diagnosis of mental illness or a physical disability or illness long enough and severe enough to prevent the person from participating within the period the quality control unit has allotted to complete its review process.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0085 Right to Apply; Making Application
Subpart 1. Applying for medical assistance.
Any person or the person's authorized representative may apply for medical assistance at the local agency in the county of the person's residence, or in the county of the authorized representative's residence, or in the county of financial responsibility. The local agency that receives a request for medical assistance from an individual either by telephone or in person shall inform the individual of the eligibility factors and requirements and the procedure for making a written application. The local agency shall inform the individual that he or she has a right to apply for medical assistance, regardless of the agency's informal assessment as to the likely eligibility of the individual. The application must be completed by the applicant or the applicant's authorized representative, on the application form prescribed by the department. A local agency shall not require an individual to appear at the local agency for an interview or to submit verification of eligibility factors before the date when the individual submits the completed application form. The local agency shall accept the application and provide the applicant with information about the eligibility factors. The date of the application shall be as defined in part 9505.0015, subpart 5. An applicant may apply for eligibility consideration of up to three calendar months prior to the month of application.
Subp. 2. Application by authorized representative.
A person who is incapable of completing the application or providing the information and verifications required for the determination of eligibility for the medical assistance program may authorize a representative. If the person is incapable of authorizing a representative, another individual may assume authorized representative status if the individual has access to needed information, is able to verify eligibility factors, and agrees in writing to assume the responsibilities of the applicant and recipient as set forth in parts 9505.0070 to 9505.0130 and Minnesota Statutes, section 256B.08. The local agency has the right to remove an authorized representative who does not perform the required duties. If no qualified individual is available to act as authorized representative, the local agency shall appoint a social service professional to serve in that role.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0090 Local Agency Action on Application
Subpart 1.
[Repealed, 26 SR 977]
Subp. 2. Time limit for agency action.
The local agency shall act on an application for medical assistance no later than 45 days from the date of a medical assistance application on behalf of a person who is neither blind nor disabled. In the case of application on behalf of a blind or disabled person, the local agency shall complete the eligibility determination no later than 60 days from the date of the application. The local agency shall not construe the 45- or 60-day period for determination as a waiting period. The local agency must not deny an application earlier than the end of the 45- or 60-day period because of the applicant's refusal to provide the required information.
Subp. 3. Required notice in case of delay.
If the information and documentation required by parts 9505.0010 to 9505.0140 are not obtained within the time limit, the local agency shall notify the applicant, in writing, about the deficiencies of the application, the reason for the delay in determining the applicant's eligibility, and the applicant's right to appeal the agency's delay of a decision under part 9505.0130.
If the reason for the delay is the applicant's refusal to provide required information or documentation, the agency's written notice to the applicant must also state that eligibility will be denied unless the applicant provides the information within ten days of the date of the notice to the applicant.
If the reason for the delay is the applicant's inability to obtain or provide the information, the agency shall assist the applicant to obtain the information.
When a delay results because necessary information cannot be obtained within the time limit, the local agency shall notify the applicant of the reason for the delay in writing, and of the applicant's right to appeal the delay.
Subp. 4. Withdrawal of application.
An applicant may withdraw his or her application at any time by giving written or oral notice to the local agency. The local agency shall issue a written notice confirming the withdrawal. The notice must inform the applicant of the local agency's understanding that the applicant has withdrawn the application and no longer wants to pursue it. When, within ten days of the date of the agency's notice, an applicant informs a local agency in writing that he or she does not want to withdraw the application, the local agency shall reinstate, and finish processing the application.
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 26 SR 977
Minn. R. 9505.0095 Verification of Eligibility Information
The local agency shall verify the eligibility factors, in determining the medical assistance eligibility of the applicant. The local agency must not require an applicant or recipient to verify more than once an eligibility factor not subject to change and available in existing medical assistance files of the local agency.
The applicant shall provide all necessary information and documents and give the local agency written authorization to contact sources who are able to verify the required information to the local agency. An applicant who refuses to authorize verification of an eligibility factor including a social security number shall be denied medical assistance eligibility.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0100 Notice of Agency Decision on Eligibility
The local agency must notify a person, in writing, in the format determined by the department, of the agency's decision on the person's medical assistance eligibility. The notice must be sent within the time limits set in part 9505.0090 and comply with the requirements of part 9505.0140. If the determination is to deny eligibility, the local agency shall give the person the reasons for the denial and state the person's right to appeal the denial as provided in part 9505.0130.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0105 Application for State Hospital Residents
A state hospital resident may apply for medical assistance at the state hospital reimbursement office. The reimbursement office shall assist the hospital resident in completing the application form and shall forward the application to the local agency of the county of financial responsibility for the local agency's determination of eligibility. The date of the application is the date on which the state hospital reimbursement office receives a signed application. The local agency shall notify the reimbursement office of actions taken on the application, a delay in determining eligibility, and any change in eligibility status.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0110 Periods of Eligibility
Subpart 1. Retroactive eligibility.
Retroactive eligibility is available for the three calendar months before the month of application. Retroactive eligibility must be determined as if the applicant had applied in the retroactive month except for the reduction of excess assets. Retroactive eligibility is available on the date after the day on which excess assets are reduced. Retroactive eligibility does not depend on a finding of eligibility for the month of application or for all of the months in the retroactive period and is not limited to consecutive months in the retroactive period.
Subp. 2.
[Repealed, 26 SR 977]
Subp. 3. Eligibility for entire month.
A person who satisfies all eligibility requirements at any time within a month is eligible for the entire month beginning with the first of the month unless:
A. eligibility ends because the person dies;
B. the starting date is delayed by an income spenddown requirement;
C. the starting date of retroactive eligibility begins as specified under subpart 1; or
D. federal law limits the beginning date of eligibility to another date.
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 26 SR 977
Minn. R. 9505.0115 Redetermination of Eligibility
Subpart 1. Report of change.
An applicant or recipient must report a change in an eligibility factor to the local agency within ten days of learning about the change.
Subp. 2. Redetermination after change in eligibility factor.
The local agency shall redetermine eligibility if a change in an eligibility factor is reported.
Subp. 3.
[Repealed, 26 SR 977]
Subp. 4. Redetermination for state hospital resident.
The local agency of the county of financial responsibility may request the state hospital reimbursement officer to obtain the information necessary for the local agency to redetermine the state hospital resident's medical assistance eligibility.
Subp. 5.
[Repealed, 26 SR 977]
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 14 SR 2632; 26 SR 977
Minn. R. 9505.0120 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0125 Notice of Denial or Termination
Subpart 1. Notice to applicant or recipient.
The local agency or department shall send the person a written notice, in the format prescribed by the department, when the agency or department denies prior authorization, restricts free choice of provider, or reduces services, or reduces, denies, or terminates the person's medical assistance eligibility. The notice must clearly state the proposed action, the reason for the action, the person's right to appeal the proposed action, and the person's right to reapply for eligibility or additional eligibility. The notice must comply with parts 9505.0100 and 9505.0140. Except as in subpart 2, the notice must be sent as specified in items A to C:
A. In the case of restriction of free choice of provider or reduction of services, the notice must be sent by the department to the person no later than ten days before the effective date of the restriction or reduction.
B. In the case of denial of prior authorization, the department shall notify the recipient and the provider no later than 30 working days after receipt of all information required for prior authorization.
C. In the case of a denial, reduction, or termination of eligibility, the local agency shall notify the person no later than ten calendar days before the effective date of the action. Except in the case of the recipient's death, the effective date of the termination is the first day of the month after the month in which the recipient no longer met the eligibility factors. In the case of a recipient's death, the effective date of termination is the day after the date of the recipient's death.
Subp. 2. Exceptions to period of notice.
The circumstances in items A and B permit exceptions to the period of notice required in subpart 1:
A. The period of notice may be five days before the date of the proposed action if the local agency has facts indicating probable fraud by the applicant or recipient and if the facts have been verified through a secondary source.
B. The agency may mail a notice not later than the date of action if:
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0130 Right to Appeal; Appeal Process
Subpart 1. Rights of applicant or recipient.
An applicant or recipient of medical assistance has the right to a hearing:
A. if the local agency fails to act on the application within required time limits;
B. if eligibility is denied or terminated;
C. if the recipient's spend down is increased;
D. if the recipient's choice of provider is restricted;
E. if payment for a health insurance premium is denied because the department determines the insurance policy is not cost-effective for the medical assistance program; and
F. if the department denies a recipient's request for health service. A local agency shall not reduce, suspend, or terminate eligibility when a recipient appeals under subpart 2 before the later of the effective date of the action or within ten days of the agency's mailing of the notice unless the recipient requests in writing not to receive continued medical assistance while the appeal is pending.
Subp. 2. Appeal process.
An applicant or recipient may appeal the proposed action within 30 days after the notice was sent to the applicant or recipient by the local agency. The appeal must be filed within 30 days of the local agency's action. However, a delay to 90 days is allowed if an appeals referee finds that the applicant has good cause for failing to request a hearing within 30 days. The applicant's or recipient's written appeal and request for hearing must be submitted to the department by the local agency. A state appeals referee shall conduct a hearing and recommend to the commissioner a course of action in the case. The commissioner shall issue an order affirming, reversing, or modifying the action or decision of the local agency or the department. This order is binding upon the local agency and the aggrieved party unless an appeal is filed with the district court within 30 days of the commissioner's order, under Minnesota Statutes, section 256.045, subdivision 7.
Subp. 3.
[Repealed, 26 SR 977]
Subp. 4. Right to review records.
A local agency shall allow a person, the person's authorized representative, or the person's guardian to review the records that the local agency maintains concerning the person's medical assistance application and eligibility, except for records to which access is denied under Minnesota Statutes, chapter 13. A local agency shall make the records available to the person, the person's authorized representative, or the person's guardian as soon as possible but no later than the fifth business day after the date of the request. When a person, the person's authorized representative, or the person's guardian asks for photocopies of material from the person's records, the local agency shall provide one copy of each page at no cost to the individual making the request.
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 26 SR 977
Minn. R. 9505.0131 Wrongfully Obtained Assistance
Subpart 1. Applicability to other laws.
This part outlines procedures that apply to medical assistance eligibility and are available for use in combination with established civil and criminal procedures and law.
Subp. 2. Responsibility of local agency to act.
A local agency that receives an allegation of a person wrongfully obtaining assistance shall take any or all of the actions in items A to C.
A. The local agency shall refer a case involving a person suspected of wrongfully obtaining assistance to the person or unit designated by the board of commissioners in the county of the local agency for investigation of the suspected fraud.
B. The local agency shall issue notice according to part 9505.0125 to reduce or terminate the person's medical assistance eligibility when the local agency receives facts and, if possible, verifies the facts that show a person is not eligible for medical assistance or for the amount currently being received.
C. If the preliminary investigation gives the local agency reason to believe that fraud has occurred, the local agency shall refer cases involving persons suspected of wrongfully obtaining assistance to the county attorney.
Subp. 3. Continued medical assistance eligibility.
A local agency shall continue medical assistance eligibility if current program eligibility exists even when wrongfully obtained medical assistance was proven for an earlier period or is under current investigation as in subpart 2.
Subp. 4. Recovery of wrongfully obtained medical assistance.
A local agency shall recover or attempt to recover wrongfully obtained medical assistance. The amount recovered must not be more than the amount wrongfully obtained unless the amount is based on a court judgment. A local agency shall seek voluntary repayment or initiate civil court proceedings to recover the balance of the wrongfully obtained assistance that has not been repaid.
Subp. 5. Reporting requirement.
A local agency shall gather and report statistical data required by the commissioner on local agency activities to prevent persons from wrongfully obtaining medical assistance.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069
Minn. R. 9505.0135 Administrative Functions of Local Agency
Subpart 1. Local agency responsibility.
The local agency is responsible for the medical assistance program and shall determine eligibility for the program under the supervision of the department as provided in Minnesota Statutes, section 256B.05.
Subp. 2. Submittal of information.
The local agency shall submit to the department information about applicants and recipients in the form prescribed by the department.
Subp. 3. Maintenance of records.
The local agency shall develop and maintain accurate records regarding implementation of parts 9505.0010 to 9505.0140. The local agency shall keep the records in a way that complies with the Minnesota Government Data Practices Act, Minnesota Statutes, chapter 13. The records must contain a central register of the names of all persons who apply for medical assistance.
Subp. 4. Estate claims.
The local agency of the county of financial responsibility shall file claims against the estates of medical assistance recipients as provided in Minnesota Statutes, section 256B.15. The county of financial responsibility shall receive 50 percent of the nonfederal share of estate claim recoveries.
Subp. 5.
[Repealed, 26 SR 977]
Subp. 6.
[Repealed, 26 SR 977]
History
- Statutory Authority: MS s 256B.04; L 2000 c 340 s 17
- History: 11 SR 1069; 26 SR 977
Minn. R. 9505.0140 Payment for Access to Medically Necessary Services
Subpart 1. Access to medically necessary services.
The local agency shall ensure that a service listed in items A to C is available to a medical assistance recipient to enable the recipient to obtain a medically necessary health service. The local agency shall pay directly for these services and may charge them to the medical assistance program administrative account for reimbursement. The services are:
A. Sign language interpreter, if a person who is deaf, deafblind, or hard-of-hearing must have an interpreter in order to receive health services from a provider with fewer than 15 employees.
B. Transportation by volunteer driver, common carrier, or contract for service, or direct mileage reimbursement to the recipient or the recipient's driver. The mileage reimbursement must be at the rate specified in part 9505.0065, subpart 5, item D. Parking fees must be reimbursed at actual cost.
C. Meals and lodging necessary to obtain health services. Direct payment or reimbursement to a vendor or to the recipient for the cost of the recipient's meals and lodging necessary to obtain health services eligible for medical assistance reimbursement must be the lesser of the actual cost of the lodging and meals or the standard for lodging and meals established under Minnesota Statutes, section 43A.18, subdivision 2.
D. Meals, lodging, and transportation costs of a responsible relative or other person to accompany or be present with the recipient at the site of health services. When a responsible relative or another individual is needed to accompany the recipient or to be present with the recipient at the site of a health service medically necessary for the recipient, the accompanying individual must be reimbursed for the cost of his or her meals, transportation, and lodging based on the standard for the recipient.
Subp. 2. Local agency procedure to ensure access.
By March 22, 1987, and every two years after, the local agency shall submit to the department a transportation plan that specifies the means the local agency will use to meet the requirements of subpart 1. The department shall review the plan and advise the local agency whether it meets the requirements of subpart 1. The local agency shall inform a recipient of the county's transportation plan. A local agency may require prior approval of the payments of costs in subpart 1 if exceptions are made for emergencies and retroactive eligibility.
Subp. 3. Local agency procedure to ensure access to hearings.
A local agency shall reimburse applicants and recipients for reasonable and necessary expenses of their attendance at hearings held pursuant to part 9505.0130, subpart 1, such as child care and transportation costs.
History
- Statutory Authority: MS s 256B.04
- History: 11 SR 1069; L 2013 c 62 s 32
Minn. R. 9505.0145 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0150 [Repealed, 26 SR 977]
[Repealed, 26 SR 977]
Minn. R. 9505.0170 Applicability
Parts 9505.0170 to 9505.0475 govern the administration of the medical assistance program, establish the services and providers that are eligible to receive medical assistance payments, and establish the conditions a provider must meet to receive payment.
Parts 9505.0170 to 9505.0475 must be read in conjunction with title XIX of the Social Security Act for appropriate populations; title XXI of the Social Security Act for appropriate populations; Code of Federal Regulations, title 42; Minnesota Statutes, including chapters 256 and 256B; and parts 9505.5000 to 9505.5105.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 36 SR 10
Minn. R. 9505.0175 Definitions
Subpart 1. Scope.
The terms used in parts 9505.0170 to 9505.0475 have the meanings given them in this part.
Subp. 2. Attending physician.
"Attending physician" means the physician who is responsible for the recipient's plan of care.
Subp. 3. Business agent.
"Business agent" means a person or entity who submits a claim for or receives a medical assistance payment on behalf of a provider.
Subp. 4. Clinic.
"Clinic" means an entity enrolled in the medical assistance program to provide rural health clinic services, public health clinic services, community health clinic services, or the health services of two or more physicians or dentists.
Subp. 5. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designee.
Subp. 6. Covered service.
"Covered service" means a health service eligible for medical assistance payment under parts 9505.0170 to 9505.0475.
Subp. 7. Dentist.
"Dentist" means a person who is licensed to provide health services under Minnesota Statutes, section 150A.06, subdivision 1.
Subp. 8. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 9. Drug formulary.
"Drug formulary" means a list of drugs for which payment is made under medical assistance. The formulary is established under Minnesota Statutes, sections 256B.02, subdivision 8 and 256B.0625.
Subp. 10. Durable medical equipment.
"Durable medical equipment" means a device or equipment that can withstand repeated use, is provided to correct or accommodate a physiological disorder or physical condition, and is suitable for use in the recipient's residence.
Subp. 11. Emergency.
"Emergency" means a condition including labor and delivery that if not immediately diagnosed and treated could cause a person serious physical or mental disability, continuation of severe pain, or death.
Subp. 12. Employee.
"Employee" means a person:
A. employed by a provider who pays compensation to the employee and withholds or is required to withhold the federal and state taxes from the employee; or
B. who is a self-employed vendor and who has a contract with a provider to provide health services.
Subp. 13. Health care prepayment plan or prepaid health plan.
"Health care prepayment plan" or "prepaid health plan" means a health insurer licensed and operating under Minnesota Statutes, chapters 60A, 62A, and 62C and a health maintenance organization licensed and operating under Minnesota Statutes, chapter 62D to provide health services to recipients.
Subp. 14. Health services.
"Health services" means the goods and services eligible for medical assistance payment under Minnesota Statutes, sections 256B.02, subdivision 8 and 256B.0625.
Subp. 15. Home health agency.
"Home health agency" means an organization certified by Medicare to provide home health services.
Subp. 16. Hospital.
"Hospital" means an acute care institution defined in Minnesota Statutes, section 144.696, subdivision 3, licensed under Minnesota Statutes, sections 144.50 to 144.58, and maintained primarily to treat and care for persons with disorders other than tuberculosis or mental diseases.
Subp. 17. Inpatient.
"Inpatient" means a person who has been admitted to an inpatient hospital and has not yet been formally discharged. Inpatient applies to a person absent from a hospital on a pass ordered by a physician. For purposes of this definition, a person absent from the hospital against medical advice is not an inpatient during the absence.
Subp. 18.
[Repealed, 35 SR 1967]
Subp. 19. Licensed practical nurse.
"Licensed practical nurse" means a person licensed to provide health services under Minnesota Statutes, sections 148.29 to 148.299.
Subp. 20.
[Repealed, 35 SR 1967]
Subp. 21. Local agency.
"Local agency" means a county or multicounty agency that is authorized under Minnesota Statutes, sections 393.01, subdivision 7 and 393.07, subdivision 2, as the agency responsible for determining eligibility for the medical assistance program.
Subp. 22. Local trade area.
"Local trade area" means the geographic area surrounding the person's residence, including portions of states other than Minnesota, which is commonly used by other persons in the same area to obtain similar necessary goods and services.
Subp. 23. Long-term care facility.
"Long-term care facility" means a residential facility certified by the Minnesota Department of Health as a skilled nursing facility, an intermediate care facility, or an intermediate care facility for the developmentally disabled.
Subp. 24. Medical assistance.
"Medical assistance" means the program established under title XIX of the Social Security Act and Minnesota Statutes, chapter 256B.
Subp. 25. Medically necessary or medical necessity.
"Medically necessary" or "medical necessity" means a health service that is consistent with the recipient's diagnosis or condition and:
A. is recognized as the prevailing standard or current practice by the provider's peer group; and
B. is rendered in response to a life threatening condition or pain; or to treat an injury, illness, or infection; or to treat a condition that could result in physical or mental disability; or to care for the mother and child through the maternity period; or to achieve a level of physical or mental function consistent with prevailing community standards for diagnosis or condition; or
C. is a preventive health service under part 9505.0355.
Subp. 26. Medicare.
"Medicare" means the health insurance program for the aged and disabled under title XVIII of the Social Security Act.
Subp. 27. Mental health practitioner.
"Mental health practitioner" means a person who is qualified as specified in Minnesota Statutes, section 245.4871, subdivision 26, to serve a person under age 21, or who is qualified as specified in Minnesota Statutes, section 245.462, subdivision 17, to serve a person at least age 21.
Subp. 28. Mental health professional.
"Mental health professional" means a person who provides clinical services in the treatment of mental illness of an adult and who is qualified in at least one of the ways specified in Minnesota Statutes, section 245.462, subdivision 18, clauses (1) to (4), or a person who provides clinical services in the treatment of the emotional disturbance of a child and is qualified in at least one of the ways specified in Minnesota Statutes, section 245.4871, subdivision 27, clauses (1) to (4), or in the manner specified in the state Medicaid plan and who receives clinical supervision as specified in part 9505.0323, subpart 31.
Subp. 29. Nondurable medical equipment.
"Nondurable medical equipment" means a supply or piece of equipment that is used to treat a health condition and that cannot be reused.
Subp. 30. Nurse practitioner.
"Nurse practitioner" means a registered nurse who is currently certified as a primary care nurse or clinical nurse specialist by the American Nurses Association or by the National Board of Pediatric Nurse Practitioners and Associates.
Subp. 31. On the premises.
"On the premises," when used to refer to a person supervising the provision of the health service, means that the person is physically located within the clinic, long-term care facility, or the department within the hospital where services are being provided at the time the health service is provided.
Subp. 32.
[Repealed, L 2015 c 78 art 5 s 5]
Subp. 33. Physician.
"Physician" means a person who is licensed to provide health services within the scope of his or her profession under Minnesota Statutes, chapter 147.
Subp. 34. Physician assistant.
"Physician assistant" means a person who meets the requirements of part 5600.2600, subpart 11.
Subp. 35. Plan of care.
"Plan of care" means a written plan that:
A. states with specificity the recipient's condition, functional level, treatment objectives, the physician's orders, plans for continuing care, modifications to the plan, and the plans for discharge from treatment; and
B. except in an emergency, is reviewed and approved, before implementation, by the recipient's attending physician in a hospital or long-term care facility or by the provider of a covered service as required in parts 9505.0170 to 9505.0475.
Subp. 36. Podiatrist.
"Podiatrist" means a person who is licensed to provide health services under Minnesota Statutes, chapter 153.
Subp. 37. Prior authorization.
"Prior authorization" means the procedures required in parts 9505.5010 to 9505.5030.
Subp. 38. Provider.
"Provider" means a vendor as specified in Minnesota Statutes, section 256B.02, subdivision 7 that has signed an agreement approved by the department for the provision of health services to a recipient.
Subp. 39. Provider agreement.
"Provider agreement" means a written contract between a provider and the department in which the provider agrees to comply with the provisions of the contract as a condition of participation in the medical assistance program.
Subp. 40. Psychiatrist.
"Psychiatrist" means a physician who can give written documentation of having successfully completed a postgraduate psychiatry program of at least three years' duration that is accredited by the American Board of Psychiatry and Neurology.
Subp. 41. Recipient.
"Recipient" means a person who has been determined by the local agency to be eligible for the medical assistance program.
Subp. 42. Registered nurse.
"Registered nurse" means a nurse licensed under and within the scope of practice of Minnesota Statutes, sections 148.171 to 148.285.
Subp. 43. Residence.
"Residence" means the place a person uses as his or her primary dwelling place, and intends to continue to use indefinitely for that purpose.
Subp. 44. Screening team.
"Screening team" has the meaning given in Minnesota Statutes, section 256B.091.
Subp. 45. Second surgical opinion.
"Second surgical opinion" means the requirement established in parts 9505.5035 to 9505.5105.
Subp. 46. Supervision.
"Supervision," except as specified in item E, means the process of control and direction by which the provider accepts full professional responsibility for the supervisee, instructs the supervisee in his or her work, and oversees or directs the work of the supervisee. The process must meet the following conditions.
A. The provider must be present and available on the premises more than 50 percent of the time when the supervisee is providing health services.
B. The diagnosis must be made by or reviewed, approved, and signed by the provider.
C. The plan of care for a condition other than an emergency may be developed by the supervisee, but must be reviewed, approved, and signed by the provider before the care is begun.
D. The supervisee may carry out the treatment but the provider must review and countersign the record of a treatment within five working days after the treatment.
E. Items A to D do not apply to supervision of physician assistants. Physician supervision of physician assistants must meet the standards set by Minnesota Statutes, chapter 147A, except that in rural health clinics and federally qualified health centers, physician supervision of physician assistants is governed by Code of Federal Regulations, title 42, chapter IV, subchapter E, part 491, subpart A, section 491.8.
Subp. 47. Surgical assistant.
"Surgical assistant" means a person who assists a physician, dentist, or podiatrist in surgery but is not licensed as a physician, dentist, or podiatrist.
Subp. 48. Third party.
"Third party" refers to a person, entity, agency, or government program as defined in part 9505.0015, subpart 46.
Subp. 49. Usual and customary.
"Usual and customary," when used to refer to a fee billed by a provider, means the charge of the provider to the type of payer, other than recipients or persons eligible for payment on a sliding fee schedule, that constitutes the largest share of the provider's business. For purposes of this subpart, "payer" means a third party or persons who pay for health service by cash, check, or charge account.
Subp. 50. Vendor.
"Vendor" means a vendor of medical care as defined in Minnesota Statutes, section 256B.02, subdivision 7. A vendor may or may not be a provider.
History
- Statutory Authority: MS s 245.461 to 245.486; 256B.04; 256B.0625
- History: 12 SR 624; L 1988 c 689 art 2 s 268; 13 SR 1439; 14 SR 8; 17 SR 1454; 17 SR 2042; 21 SR 525; L 2005 c 56 s 2; 35 SR 1967; L 2015 c 78 art 5 s 5
Minn. R. 9505.0180 Surveillance and Utilization Control Program
Subpart 1.
[Repealed, 15 SR 2563]
Subp. 2. Duty to implement.
The department shall carry out a program of a surveillance and utilization review under parts 9505.2160 to 9505.2245 and Code of Federal Regulations, title 42, part 455, and a program of utilization control under Code of Federal Regulations, title 42, part 456. These programs together constitute the surveillance and utilization control program.
Subp. 3. Surveillance and utilization review.
The surveillance and utilization review program must have a post payment review process to ensure compliance with the medical assistance program and to monitor both the use of health services by recipients and the delivery of health services by providers. The process must comply with parts 9505.2160 to 9505.2245.
Subp. 4. Utilization control.
The department shall administer and monitor a program of utilization control to review the need for, and the quality and timeliness of, health services provided in a hospital, long-term care facility, or institution for the treatment of mental diseases. A facility certified for participation in the medical assistance program must comply with the requirements of Code of Federal Regulations, title 42, part 456 for utilization control.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 15 SR 2563
Minn. R. 9505.0185 [Repealed, 30 SR 1318]
[Repealed, 30 SR 1318]
Minn. R. 9505.0190 Recipient Choice of Provider
Subject to the limitations in Minnesota Statutes, section 256B.69, and in parts 9505.2160 to 9505.2245, a recipient who requires a medically necessary health service may choose to use any provider located within Minnesota or within the recipient's local trade area. No provider other than a prepaid health plan shall require a recipient to use a health service that restricts a recipient's free choice of provider. A recipient who enrolls in a prepaid health plan that is a provider must use the prepaid health plan for the health services provided under the contract between the prepaid health plan and the department.
A recipient who requires a medically necessary health service that is not available within Minnesota or the recipient's local trade area shall obtain prior authorization of the health service.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0195 Provider Participation
Subpart 1. Department administration of provider participation.
The department shall administer the participation of providers in the medical assistance program. The department shall:
A. determine the vendor's eligibility to enroll in the medical assistance program according to parts 9505.0170 to 9505.0475;
B. enroll an eligible vendor located in Minnesota retroactive to the first day of the month of application, or retroactive for up to 90 days to the effective date of Medicare certification of the provider, or retroactive to the date of the recipient's established retroactive eligibility;
C. enroll an out-of-state vendor as provided in subpart 9; and
D. monitor and enforce the vendor's compliance with parts 9505.2160 to 9505.2245 and with the terms of the provider agreement.
Subp. 2. Application to participate.
A vendor that wants to participate in the medical assistance program shall apply to the department on forms provided by the department. The forms must contain an application and a statement of the terms for participation. The vendor shall complete, sign, and return the forms to the department. Upon approval of the application by the department under subpart 3, the signed statement of the terms for participation and the application constitute the provider agreement.
Subp. 3. Department review of application.
The department shall review a vendor's application to determine whether the vendor is qualified to participate according to the criteria in parts 9505.0170 to 9505.0475.
Subp. 4. Notice to vendor.
The department shall notify an applicant, in writing, of its determination within 30 days of receipt of the complete application to participate.
A. If the department approves the application, the notice must state that the application is approved and that the applicant has a provider agreement with the department.
B. If the department denies the application, the notice to the applicant must state the reasons for the denial and the applicant's right to submit additional information in support of the application.
C. If the department is unable to reach a decision within 30 days, the notice to the applicant must state the reasons for the delay and request any additional information necessary to make a decision.
Subp. 5. Duration of provider agreement.
A provider agreement remains in effect until an event in items A to E occurs:
A. the ending date of the agreement specified in the agreement; or
B. the provider's failure to comply with the terms of participation; or
C. the provider's sale or transfer of ownership, assets, or control of an entity that has been enrolled to provide medical assistance services; or
D. 30 days following the date of the department's request to the provider to sign a new provider agreement that is required of all providers of a particular type of health service; or
E. the provider's request to end the agreement.
Subp. 6. Consequences of failure to comply.
A provider who fails to comply with the terms of participation in the provider agreement or parts 9505.0170 to 9505.0475 or 9505.2160 to 9505.2245 is subject to monetary recovery, sanctions, or civil or criminal action as provided in parts 9505.2160 to 9505.2245. Unless otherwise provided by law, no provider of health services shall be declared ineligible without prior notice and an opportunity for a hearing under Minnesota Statutes, chapter 14, on the commissioner's proposed action.
Subp. 7. Vendor who is not a provider.
A vendor of health services who does not have a provider agreement in effect, but who provides health services to recipients and who otherwise receives payments from the medical assistance program, is subject to parts 9505.0170 to 9505.0475 and 9505.2160 to 9505.2245.
Subp. 8. Sale or transfer of entity providing health services.
A provider who sells an entity which has been enrolled to provide medical assistance services or who transfers ownership or control of an entity that has been enrolled to provide medical assistance services shall notify the department of the sale or transfer no later than 30 days before the effective date of the sale or transfer. The purchaser or transferee shall notify the department of transfer or sale no later than the effective date of the sale or transfer. Nothing in this subpart shall be construed to limit the right of the department to pursue monetary recovery or civil or criminal action against the seller or transferor as provided in parts 9505.2160 to 9505.2245.
Subp. 9. Out-of-state vendor.
An out-of-state vendor may apply for retroactive enrollment as a provider effective on the date of service to a recipient. To be eligible for payment under the Minnesota medical assistance program, an out-of-state vendor must:
A. comply with the licensing and certification requirements of the state where the vendor is located;
B. complete and sign the forms required in subpart 2;
C. obtain department approval as in subpart 3; and
D. comply with the requirements of parts 9505.0170 to 9505.0475. For purposes of this subpart, "out-of-state vendor" refers to a vendor who provides a health service to a Minnesota recipient at a site located in a state other than Minnesota.
Subp. 10. Condition of participation.
A provider shall comply with title VI of the Civil Rights Act of 1964 and all regulations under the act, and with Minnesota Statutes, chapter 363A. A provider shall not place restrictions or criteria on the services it will make available, the type of health conditions it will accept, or the persons it will accept for care or treatment, unless the provider applies those restrictions or criteria to all individuals seeking the provider's services. A provider shall render to recipients services of the same scope and quality as would be provided to the general public. Furthermore, a provider who has such restrictions or criteria shall disclose the restrictions or criteria to the department so the department can determine whether the provider complies with the requirements of this subpart.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0200 Competitive Bidding
Under certain conditions, the commissioner shall seek competitive bids for items designated in Minnesota Statutes, section 256B.04, subdivision 14, and for durable medical equipment. Competitive bids are required if the item of durable medical equipment is available from more than one manufacturer and at least one of the following conditions exists:
A. the projected fiscal year savings of medical assistance funds, resulting from purchase of the item through the bidding procedure, exceeds the cost of administering the competitive bidding procedure. The projected savings in a fiscal year must be computed by determining the difference between actual expenditures for the item in the previous fiscal year and an estimated expenditure based on the actual number of units purchased times the predicted competitive bid prices; or
B. the item is a new item that was not available during the previous fiscal year but is estimated to be cost-effective if purchased by competitive bidding. Competitive bidding for a new item is considered cost-effective if the projected annual cost at predicted competitive bid prices is less than the projected annual payments at a reimbursement level which would be set by medical assistance in lieu of competitive bid.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0205 Provider Records
A provider shall maintain medical, health care, and financial records, including appointment books and billing transmittal forms, for five years in the manner required under parts 9505.1800 to 9505.1880.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0210 Covered Services; General Requirements
The medical assistance program shall pay for a covered service provided to a recipient or to a person who is later found to be eligible at the time the person received the service. To be eligible for payment, a health service must:
A. be determined by prevailing community standards or customary practice and usage to:
B. represent an effective and appropriate use of medical assistance funds;
C. be within the service limits specified in parts 9505.0170 to 9505.0475;
D. be personally furnished by a provider except as specifically authorized in parts 9505.0170 to 9505.0475; and
E. if provided for a recipient residing in a long-term care facility, be part of the recipient's written plan of care, unless the service is for an emergency, included in the facility's per diem rate, or ordered in writing by the recipient's attending physician.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 17 SR 1279
Minn. R. 9505.0215 Covered Services; Out-of-State Providers
Subpart 1. Out-of-state provider.
For purposes of this part, "out-of-state provider" means a provider who is located outside of Minnesota and outside of the recipient's local trade area.
Subp. 2. Reimbursement requirements.
A health service provided to a recipient by an out-of-state provider is eligible for medical assistance payment if the service meets the requirements of items A, B, and C.
A. The service must be a covered service as defined in part 9505.0175, subpart 6.
B. The provider must obtain prior authorization if prior authorization is required under Minnesota Statutes, section 256B.0625, subdivision 25, parts 9505.0170 to 9505.0475, or parts 9505.5000 to 9505.5030.
C. The service must meet one of the following conditions:
Subp. 3. Inapplicability when recipient not out-of-state.
The requirements in subpart 2, item C, do not apply when, at the time of service, the recipient is located within Minnesota or the recipient's local trade area.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 17 SR 3047; 36 SR 10
Minn. R. 9505.0220 Health Services Not Covered by Medical Assistance
The health services in items A to X are not eligible for payment under medical assistance:
A. health service paid for directly by a recipient or other source unless the recipient's eligibility is retroactive and the provider bills the medical assistance program for the purpose of repaying the recipient according to part 9505.0450, subpart 3;
B. drugs which are not in the drug formulary or which have not received prior authorization;
C. a health service for which the required prior authorization was not obtained, or, except in the case of an emergency, a health service provided before the date of approval of the prior authorization request;
D. autopsies;
E. missed or canceled appointments;
F. telephone calls or other communications that were not face-to-face between the provider and the recipient unless authorized by parts 9505.0170 to 9505.0475;
G. reports required solely for insurance or legal purposes unless requested by the local agency or department;
H. an aversive procedure, including cash penalties from recipients, unless otherwise provided by state rules;
I. a health service that does not comply with parts 9505.0170 to 9505.0475;
J. separate charges for the preparation of bills;
K. separate charges for mileage for purposes other than medical transportation of a recipient;
L. a health service that is not provided directly to the recipient, unless the service is a covered service;
M. concurrent care by more than one provider of the same type of provider or health service specialty, for the same diagnosis, without an appropriate medical referral detailing the medical necessity of the concurrent care, if the provider has reason to know concurrent care is being provided. In this event, the department shall pay the first submitted claim;
N. a health service, other than an emergency health service, provided to a recipient without the knowledge and consent of the recipient or the recipient's legal guardian, or a health service provided without a physician's order when the order is required by parts 9505.0170 to 9505.0475, or a health service that is not in the recipient's plan of care;
O. a health service that is not documented in the recipient's health care record or medical record as required in part 9505.1800, subpart 1;
P. a health service other than an emergency health service provided to a recipient in a long-term care facility and which is not in the recipient's plan of care or which has not been ordered, in writing, by a physician when an order is required;
Q. an abortion that does not comply with Code of Federal Regulations, title 42, sections 441.200 to 441.208 or Minnesota Statutes, sections 256B.02, subdivision 8 and 256B.0625;
R. a health service that is of a lower standard of quality than the prevailing community standard of the provider's professional peers. In this event, the provider of service of a lower standard of quality is responsible for bearing the cost of the service;
S. a health service that is only for a vocational purpose or an educational purpose that is not related to a health service;
T. except for an emergency, more than one consultation by a provider per recipient per day; for purposes of this item, "consultation" means a meeting of two or more physicians to evaluate the nature and progress of disease in a recipient and to establish the diagnosis, prognosis, and therapy;
U. except for an emergency, or as allowed in item V, more than one office, hospital, long-term care facility, or home visit by the same provider per recipient per day;
V. more than one home visit for a particular type of home health service by a home health agency per recipient per day except as specified in the recipient's plan of care;
W. record keeping, charting, or documenting a health service related to providing a covered service; and
X. services for detoxification which are not medically necessary to treat an emergency.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; L 1988 c 689 art 2 s 268
Minn. R. 9505.0221 Payment Limitation; Parties Affiliated with a Provider
Except as allowed in part 9505.0287, equipment, supplies, or services prescribed or ordered by a physician are not eligible for medical assistance payment if they are provided:
A. by a person or entity that provides direct or indirect payment to the physician for the order or prescription for the equipment, supplies, or services; or
B. upon or as a result of direct referral by the physician to an affiliate of the physician unless the affiliate is the only provider of the equipment, supplies, or services in the local trade area. For purposes of this part, "affiliate" means a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with the referring physician.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 17 SR 2042
Minn. R. 9505.0225 Request to Recipient to Pay
Subpart 1. Limitation on participation.
Participation in the medical assistance program is limited to providers who accept payment for health services to a recipient as provided in subparts 2 and 3.
Subp. 2. Payment for covered service.
If the health service to a recipient is a covered service, a provider must not request or receive payment or attempt to collect payment from the recipient for the covered service unless copayment by the recipient is authorized by Minnesota Statutes enacted according to Code of Federal Regulations, title 42, or unless the recipient has incurred a spend down obligation under part 9505.0065, subpart 11. This prohibition applies regardless of the amount of the medical assistance payment to the provider. The provider shall state on any statement sent to a recipient concerning a covered service that medical assistance payment is being requested.
Subp. 3. Payment for noncovered service.
A provider who furnishes a recipient a noncovered service may request the recipient to pay for the noncovered service if the provider informs the recipient about the recipient's potential liability before providing the service.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0235 [Repealed, L 2023 c 70 art 1 s 43]
[Repealed, L 2023 c 70 art 1 s 43]
Minn. R. 9505.0240 Ambulatory Surgical Centers
Subpart 1. Definition; ambulatory surgical center.
"Ambulatory surgical center" means a facility licensed as an outpatient surgical center under parts 4675.0100 to 4675.2800 and certified under Code of Federal Regulations, title 42, part 416, to provide surgical procedures which do not require overnight inpatient hospital care.
Subp. 2. Payment limitation; surgical procedures.
Medical assistance payment for surgical procedures performed in an ambulatory surgical center shall not exceed the payment for the same surgical procedure performed in another setting.
Subp. 3. Payment limitation; items and services.
The items and services listed in items A to G are included in medical assistance payment when they are provided to a recipient by an ambulatory surgical center in connection with a surgical procedure that is a covered service.
A. Nursing services and other related services of employees who are involved in the recipient's health care.
B. Use by the recipient of the facilities of the ambulatory surgical center, including operating and recovery rooms, patient preparation areas, waiting rooms, and other areas used by the patient or offered for use by those persons accompanying the recipient in connection with surgical procedures.
C. Drugs, medical supplies, and equipment commonly furnished by the ambulatory surgical center in connection with surgical procedures. Drugs are limited to those which cannot be self administered.
D. Diagnostic or therapeutic items and services that are directly related to the provision of a surgical procedure.
E. Administrative, record keeping, and housekeeping items and services necessary to run the ambulatory surgical center.
F. Blood, blood plasma, and platelets.
G. Anesthetics and any materials, whether disposable or reusable, necessary for the administration of the anesthetics.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0245 Chiropractic Services
Subpart 1. Definitions.
The following terms used in this part have the meanings given them.
A. "Chiropractic service" means a medically necessary health service provided by a chiropractor.
B. "Chiropractor" means a person licensed under Minnesota Statutes, sections 148.01 to 148.108.
Subp. 2. Payment limitations.
Medical assistance payment for chiropractic service is limited to medically necessary manual manipulation of the spine for treatment of incomplete or partial dislocations and the x-rays that are needed to support a diagnosis of subluxation.
A. Payment for manual manipulations of the spine of a recipient is limited to six manipulations per month and 24 manipulations per year unless prior authorization of a greater number of manipulations is obtained.
B. Payment for x-rays is limited to radiological examinations of the full spine; the cervical, thoracic, lumbar, and lumbosacral areas of the spine; the pelvis; and the sacroiliac joints.
Subp. 3. Excluded services.
The following chiropractic services are not eligible for payment under the medical assistance program:
A. laboratory service;
B. diathermy;
C. vitamins;
D. ultrasound treatment;
E. treatment for a neurogenic or congenital condition that is not related to a diagnosis of subluxation;
F. medical supplies or equipment supplied or prescribed by a chiropractor; and
G. x-rays not listed in subpart 2.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0250 Repealed by subpart
Subpart 1.
[Repealed, L 2025 c 38 art 9 s 3]
Subp. 2.
[Repealed, L 2025 c 38 art 9 s 3]
Subp. 3.
[Repealed, L 2025 c 38 art 9 s 3]
Minn. R. 9505.0255 Community Health Clinic Services
Subpart 1. Definition.
"Community health clinic service" means a health service provided by or under the supervision of a physician in a clinic that meets the criteria listed in items A to D. The clinic:
A. has nonprofit status as specified in Minnesota Statutes, chapter 317A; and
B. has tax exempt status as provided in Internal Revenue Code, section 501(c)(3) as amended through October 4, 1976, or is established as a hospital authority under Minnesota Statutes, section 144.581, or is operated under the control of the commissioner under Minnesota Statutes, section 246.01; and
C. is established to provide health services to low income population groups; and
D. has written clinic policies as provided in subpart 4.
Subp. 2. Eligible health services.
The services listed in items A to F are eligible for payment as a community health clinic service:
A. physician services under part 9505.0345;
B. preventive health services under part 9505.0355;
C. family planning services under part 9505.0280;
D. early periodic screening, diagnosis, and treatment services under Minnesota Statutes, section 256B.0625, subdivision 58;
E. dental services under part 9505.0270; and
F. prenatal care services under part 9505.0353.
Subp. 3. Eligible vendors of community health clinic services.
Under the supervision of a physician, a health service provided by a physician assistant or nurse practitioner who contracts with, is a volunteer, or an employee of a community health clinic, is a covered service.
Subp. 4. Written patient care policies.
To be eligible to participate as a community health clinic, as in subpart 1, a provider must establish, in writing:
A. a description of health services provided by the community health clinic;
B. policies concerning the medical management of health problems including health conditions which require referral to physicians and provision of emergency health services; and
C. policies concerning the maintenance and review of health records by the physician.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 15 SR 910; L 1989 c 304 s 137
Minn. R. 9505.0260 Community Mental Health Center Services
Subpart 1. Definitions.
For purposes of this part, the following terms have the meanings given them.
A. "Community mental health center service" means services by a community mental health center that provides mental health services specified in part 9505.0371, subpart 2, and physician services under part 9505.0345, including the determination of a need for prescribed drugs and the evaluation of prescribed drugs.
B. Notwithstanding the definition of "supervision" in part 9505.0175, subpart 46, "supervision" means "clinical supervision" as defined in part 9505.0370, subpart 6.
C. For purposes of this part, "mental health professional" means a "mental health professional" as defined in part 9505.0175, subpart 28 and a person licensed in marriage and family therapy under Minnesota Statutes, sections 148B.29 to 148B.39 and employed by a provider of community mental health center services.
Subp. 2. Eligible providers of community mental health center services.
To be eligible to enroll in the medical assistance program as a provider of community mental health center services, a provider must:
A. be established as specified in Minnesota Statutes, section 245.62;
B. obtain the commissioner's approval according to Minnesota Statutes, section 245.69, subdivision 2;
C. be a private, nonprofit corporation or a public agency;
D. have a board of directors established under Minnesota Statutes, section 245.66;
E. be operated by or under contract with a local agency to provide community mental health services;
F. comply with parts 9520.0750 to 9520.0870 and other parts of chapter 9520 applicable to community mental health centers;
G. provide mental health services as specified in Minnesota Statutes, section 245.62, subdivision 4;
H. provide mental health services specified in Minnesota Statutes, sections 245.461 to 245.4887;
I. have a sliding fee schedule; and
J. if providing services to persons with alcohol and other drug problems, be licensed to provide outpatient treatment under Minnesota Statutes, sections 245G.01 to 245G.20 and 245G.22.
Subp. 3. Payment limitation; community mental health center services.
Medical assistance payment limitations applicable to community mental health center services include the payment limitations in parts 9505.0370 to 9505.0372.
Subp. 4.
[Repealed, 17 SR 1454]
Subp. 5. Excluded services.
The services listed in part 9505.0372, subpart 11, are not eligible for medical assistance payment as community mental health services.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 14 SR 8; 17 SR 1454; L 2003 1Sp14 art 11 s 11; 35 SR 1967
Minn. R. 9505.0270 Dental Services
Subpart 1. Definitions.
For the purposes of this part, the following terms have the meanings given them.
A. "Crown" means a restoration covering or replacing the major part or the whole portion of the tooth not covered by supporting tissues.
B. "Dental service" means a diagnostic, preventive, or corrective procedure furnished by or under the supervision of a dentist.
C. "Fixed partial denture" or "fixed cast metal restoration" or "fixed bridge" means a prosthetic replacement of one or more missing teeth that is cemented or attached to the abutment adjacent to the space filled by the prosthetic replacement and that cannot be removed by the patient.
D. "Implant" means material inserted or grafted into tissue or bone; or a device specially designed to be placed surgically within or on the mandibular or maxillary bone as a means of providing for dental replacement.
E. "Oral hygiene instruction" means an organized education program carried out by or under the supervision of a dentist to instruct a patient about the care of the patient's teeth.
F. "Rebase" means the process of refitting a denture by replacing the base material.
G. "Reline" means the process of resurfacing the tissue side of the denture with a new base material.
H. "Removable prosthesis" or "removable dental prosthesis" includes dentures and removable partial dentures and means any dental device or appliance replacing one or more missing teeth, including associated structures, if required, that is designed to be removed and reinserted by the patient.
Subp. 2. Covered dental services.
A covered dental service is any dental service that meets the general requirements for MA-covered services in part 9505.0210, subject to the limits in this part and the requirements in parts 9505.5010 and 9505.5030 that apply when prior authorization is a condition of payment. Services that require authorization are published in the State Register as required by Minnesota Statutes, section 256B.0625, subdivision 25. The list of services requiring authorization is continuously updated in the Minnesota Health Care Program (MHCP) providers' manual issued by the Minnesota Department of Human Services and is incorporated by reference. The manual is available on line at www.dhs.state.mn.us under the bulletins, publications, and manuals selection. The website may be accessed through a computer at a public library. The services in items A to S indicate the scope of covered services but are not an exclusive or exhaustive list of covered services. When individual medical need requires a service that is not listed in this subpart, a provider has the option of seeking prior authorization for the service under parts 9505.5010 and 9505.5030 unless the service is an excluded dental service under subpart 10.
A. oral hygiene instruction;
B. fluoride treatment;
C. panoramic film;
D. dental x-rays;
E. dental prophylaxis;
F. sealants;
G. oral evaluation;
H. full mouth debridement;
I. behavior management, which in dental terminology, is a documented service that is necessary to ensure that a covered dental procedure is performed correctly and safely;
J. space maintainer;
K. oral surgery and extractions;
L. fillings;
M. endodontic therapy and periodontic therapy;
N. removable partial dentures;
O. removable dentures;
P. crowns that meet the specifications in subpart 2a, item G;
Q. orthodontic treatment that meets the specifications in subpart 2a, item F;
R. reline or rebase of a removable denture; and
S. dental implants that meet the criteria in subpart 2a, item H.
Subp. 2a. Payment limits on covered dental services.
Payment for some of the covered dental services listed in subpart 2 is limited as specified in items A to H.
A. Initial placement or replacement of a removable prosthesis is limited to once every three years per patient unless a condition in subitem (1) or (2) applies:
B. Service for a removable prosthesis must include instruction in the use and care of the prosthesis and any adjustment necessary to achieve a proper fit during the six months immediately following the provision of the prosthesis. The dentist shall document the instruction and the necessary adjustments, if any, in the patient's dental record.
C. All criteria under subitems (1) to (3) must be met in order for a provider to receive payment for a cast metal removable prosthesis:
D. The criteria in subitems (1) to (4) must be met in order to receive payment for periodontal scaling and root planing:
E. Hospitalization coverage for dental surgeries and services is subject to parts 9505.0501 to 9505.0545, which establish a system for reviewing the use of inpatient hospital services.
F. At least one of the following criteria must be met in order to receive payment for orthodontic treatment:
G. Except as medically necessary in conjunction with a fixed bridge covered by this part or an implant covered by this part, an individual crown must be made of prefabricated stainless steel, prefabricated resin, or laboratory resin in order to be covered.
H. The criteria in subitems (1) to (3) must be met in order to receive payment for dental implants and related services:
Subp. 3.
[Repealed, 26 SR 1630]
Subp. 4.
[Repealed, 26 SR 1630]
Subp. 5.
[Repealed, 26 SR 1630]
Subp. 6.
[Repealed, 26 SR 1630]
Subp. 7.
[Repealed, 26 SR 1630]
Subp. 8.
[Repealed, 26 SR 1630]
Subp. 9.
[Repealed, 26 SR 1630]
Subp. 10. Excluded dental services.
The dental services in items A to L are not eligible for payment under the medical assistance program:
A. pulp caps;
B. a local anesthetic that is used in conjunction with an operative or surgical procedure and billed as a separate procedure;
C. hygiene aids, including toothbrushes;
D. medication dispensed by a dentist that a patient is able to obtain from a pharmacy;
E. acid etch for a restoration that is billed as a separate procedure;
F. prosthesis cleaning;
G. removable unilateral partial denture that is a one-piece cast metal including clasps and teeth;
H. dental services for cosmetic or aesthetic purposes;
I. fixed partial denture or fixed bridge, unless it has been determined to be medically necessary and cost-effective for a patient who cannot use a removable prosthesis due to a mental or physical medical condition;
J. replacement of a denture when a reline or rebase would correct the problem;
K. gold restoration or inlay, including cast nonprecious and semiprecious metals; and
L. implants and related services when the conditions and criteria in subpart 2a, item H, are not met.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 26 SR 1630
Minn. R. 9505.0275 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.0277 Eyeglass Services
Subpart 1. Definitions.
The following terms used in this part have the meanings given them.
A. "Comprehensive vision examination" means a complete evaluation of the visual system.
B. "Dispensing services" means the technical services necessary for the design, fitting, and maintenance of eyeglasses as prescribed by an optometrist or ophthalmologist.
C. "Eyeglass services" means comprehensive and intermediate vision examinations provided by and within the scope of practice of a provider who is an optometrist or ophthalmologist and the eyeglasses provided by an optician, optometrist, or ophthalmologist.
D. "Eyeglasses" means a pair of lenses mounted in a frame and other aids to vision prescribed by an optometrist or ophthalmologist.
E. "Intermediate vision examination" means an evaluation of a specific visual problem.
F. "Medically necessary eyeglasses" means that:
G. "Ophthalmologist" means a physician who has academic training in ophthalmology beyond the requirements for licensure under Minnesota Statutes, chapter 147, and experience in the treatment and diagnosis of diseases of the eye.
H. "Optician" means a supplier of eyeglasses to a recipient as prescribed by the recipient's optometrist or ophthalmologist.
I. "Optometrist" means a person licensed under Minnesota Statutes, sections 148.52 to 148.62.
Subp. 2. Covered eyeglass services.
The eyeglass services in items A to E are eligible for medical assistance payment.
A. Comprehensive vision examinations.
B. Intermediate vision examinations.
C. An initial pair of medically necessary eyeglasses.
D. A pair of eyeglasses that are an identical replacement of a pair of eyeglasses that was misplaced, stolen, or irreparably damaged.
E. A new pair of eyeglasses due to a change in the recipient's head size, a change in vision after a comprehensive or intermediate vision examination shows that a change in eyeglasses is medically necessary, or an allergic reaction to the eyeglass frame material. For purposes of this part, "change in eyeglasses" means a change in prescription.
Subp. 3. Excluded services.
The following eyeglass services are not eligible for payment under the medical assistance program.
A. Services provided for cosmetic reasons. Examples are:
B. Dispensing services related to noncovered services.
C. Fashion tints and polarized lenses, unless medically necessary.
D. Protective coating for plastic lenses.
E. Edge and antireflective coating of lenses.
F. Industrial or sport eyeglasses unless they are the recipient's only pair and are necessary for vision correction.
G. Eyeglasses, lenses, or frames that are not medically necessary.
H. Invisible bifocals or progressive bifocals.
I. An eyeglass service for which a required prior authorization was not obtained.
J. Replacement of lenses or frames due to the provider's error in prescribing, frame selection, or measurement. The provider making the error is responsible for bearing the cost of correcting the error.
K. Services or materials that are determined to be experimental or nonclinically proven by prevailing community standards or customary practice.
L. Repair of eyeglasses during the warranty period if the repair is covered by warranty.
M. Purchase of eyeglasses or lenses not covered by a contract obtained through the competitive bidding process under part 9505.0200.
N. Backup eyeglasses.
O. Photochromatic lenses except for a person who has a diagnosis of albinism, achromatopsia, aniridia, blue cone monochromatism, cystinosis, or retinitis pigmentosa, or any other condition for which such lenses are medically necessary.
P. Transition lenses.
History
- Statutory Authority: MS s 256B.04; 256B.0625
- History: 19 SR 2004
Minn. R. 9505.0280 Family Planning Services
Subpart 1. Definitions.
For purposes of this part, the terms in items A and B have the meanings given them.
A. "Family planning service" means a family planning supply or health service, including screening, testing, and counseling for sexually transmitted diseases, such as HIV, when provided in conjunction with the voluntary planning of the conception and bearing of children and related to a recipient's condition of fertility.
B. "Family planning supply" means a prescribed drug or contraceptive device ordered by a physician or other eligible provider with prescribing authority for treatment of a condition related to a family planning service.
Subp. 2. Conditions for payment.
A family planning service is eligible for medical assistance payment if:
A. the recipient requested the service;
B. the service is provided with the recipient's full knowledge and consent; and
C. the provider complies with Code of Federal Regulations, title 42, sections 441.250 to 441.259 concerning informed consent for voluntary sterilization procedures.
Subp. 3. Eligible provider.
The following providers are eligible for medical assistance payment for a family planning service or family planning supply: physicians, nurse practitioners, certified nurse midwives, physician-directed clinics, community health clinics, rural health clinics, outpatient hospital departments, pharmacies, public health clinics, and family planning agencies.
For purposes of this subpart, "family planning agency" means an entity with a medical director that provides family planning services under the direction of a physician who is a provider as defined in part 9505.0345, subpart 3, item C.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 22 SR 1592
Minn. R. 9505.0285 Health Care Prepayment Plans or Prepaid Health Plans
Subpart 1. Eligible provider.
To be eligible for medical assistance payments, a prepaid health plan must:
A. have a contract with the department; and
B. provide a recipient, either directly or through arrangements with other providers, the health services specified in the contract between the prepaid health plan and the department.
Subp. 2. Limitations on services and prior authorization requirements.
Health services provided by a prepaid health plan according to the contract in subpart 1, item A, must be comparable in scope, quantity, and duration to the requirements of parts 9505.0170 to 9505.0475. However, prior authorization, admission certification, and second surgical opinion requirements do not apply except that a prepaid health plan may impose similar requirements.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0287 Hearing Aid Services
Subpart 1. Definitions.
The terms used in this part have the meanings given them.
A. "Audiologic evaluation" means an assessment of communication problems caused by hearing loss that is performed by an audiologist or an otolaryngologist.
B. "Audiologist" has the meaning given in part 9505.0390, subpart 1, item A.
C. "Hearing aid" means a monaural hearing aid, a set of binaural hearing aids, or other device worn by the recipient to improve the recipient's access to and use of auditory information.
D. "Hearing aid accessory" means chest harnesses, tone and ear hooks, carrying cases, and other accessories that are not included in the cost of the hearing aid but that are necessary to the recipient's use of the hearing aid.
E. "Hearing aid services provider" means:
F. "Hearing aid services" means the services provided by a hearing aid services provider that are necessary to dispense hearing aids and provide hearing aid accessories and repairs.
G. "Otolaryngologist" means a physician specializing in diseases of the ear and larynx who is board eligible or board certified by the American Board of Otolaryngology.
Subp. 2. Covered hearing aid services.
To be eligible for medical assistance payment, the hearing aid services must meet the requirements of items A to E and the other requirements of this part.
A. A physician's examination must determine that the recipient does not have medical or surgical conditions that contraindicate fitting the recipient with a hearing aid.
B. The physician who examines the recipient must refer the recipient for an audiologic evaluation to determine if the recipient has a communication disorder caused by a hearing loss and if a hearing aid is medically necessary for the recipient.
C. The audiologist or otolaryngologist who conducts the audiologic evaluation required under item B must order a specific hearing aid based on the findings of the audiologic evaluation.
D. The hearing aid services provider must provide the hearing aid that is recommended by the audiologist or otolaryngologist.
E. The audiologist or otolaryngologist must inform the recipient of the need to schedule a follow-up visit and must request that the recipient schedule a follow-up visit to determine the effectiveness of the hearing aid within 30 days of providing the aid or within the time period specified in the contract obtained through the competitive bidding process under part 9505.0200, whichever is longer.
Subp. 3. Eligibility for replacement hearing aid.
A recipient is not eligible to receive a replacement hearing aid through medical assistance within five years after a hearing aid was provided to the recipient under subpart 2 unless prior authorization is obtained from the commissioner. The criteria for prior authorization of a replacement hearing aid are listed in items A and B:
A. the recipient's present hearing aid is no longer effective because the recipient has had an increase in hearing loss; or
B. the recipient's hearing aid has been misplaced, stolen, or damaged due to circumstances beyond the recipient's control so that it cannot be repaired. The recipient's degree of physical and mental impairment must be considered in determining whether the circumstances were beyond the recipient's control. If the recipient's hearing aid was misplaced, stolen, or irreparably damaged more than two times in a five-year period, a recipient must not receive a replacement hearing aid.
Subp. 4. Condition for payment; availability of hearing aid through contract purchase.
If the department seeks competitive bids under part 9505.0200 for the provision of hearing aids and if at least one of the hearing aids available to a recipient is consistent with the results of the audiologic evaluation, then medical assistance payment for the recipient's hearing aid is limited to a hearing aid available under part 9505.0200.
Subp. 5. Hearing aid services provider payment.
A hearing aid services provider must receive one payment for fitting a new hearing aid for a recipient plus providing at least three batteries of the type necessary to operate the hearing aid. A hearing aid services provider must not request payment until after the hearing aid is dispensed. The payment also covers the following hearing aid services during the hearing aid warranty period:
A. instructing and counseling the recipient on the use and care of the hearing aid;
B. providing the recipient a copy of the manufacturer's warranty applicable to the recipient's hearing aid; and
C. returning the hearing aid to the manufacturer for repair.
Subp. 6. Replacement batteries.
Medical assistance payment is available to pay for replacement batteries only in the quantity necessary to operate the hearing aid for a period of not more than 90 days, beginning with the date the hearing aid is provided to the recipient.
Subp. 7. Hearing aid services to resident of long-term care facility.
For a resident of a long-term care facility to be eligible for medical assistance payment, the resident's hearing aid services must result from:
A. a request by the recipient;
B. a referral by a registered nurse, licensed practical nurse, or consulting nurse who is employed by the long-term care facility; or
C. a referral by the recipient's family, guardian, or attending physician. For purposes of this subpart, "long-term care facility" means a residential facility certified by the Department of Health as a nursing facility or an intermediate care facility for the developmentally disabled.
Subp. 8. Other covered hearing aid services.
Medical assistance payment is also available to pay for the hearing aid services in items A and B:
A. ear molds if the ear molds are not provided by the manufacturer as part of the hearing aid under the contract with the state, or if the earmolds are not customarily provided with the hearing aid; and
B. hearing aid accessories.
Subp. 9. Trial period for audiologist's or otolaryngologist's evaluation of hearing aid.
A. A hearing aid services provider must allow a recipient at least a 30-day trial or the period required by the contract between the state and the hearing aid manufacturer, whichever is longer, to allow an audiologist or otolaryngologist to determine whether the hearing aid meets the recipient's needs. The trial period consists of consecutive days beginning with the date the hearing aid is provided to the recipient. The hearing aid services provider must tell the recipient of the beginning and ending dates of the trial period.
B. If the audiologist or otolaryngologist determines that the hearing aid does not meet the recipient's needs, the audiologist or otolaryngologist must tell the recipient of the availability of further audiologic services as set forth in part 9505.0390, subpart 4, and order any necessary changes during the trial period.
Subp. 10. Hearing aid services not covered.
Medical assistance payment is not available to pay for the following hearing aid services:
A. a hearing aid that is not medically necessary for the recipient;
B. replacement batteries, other than as specified in subpart 6, provided regardless of the recipient's need;
C. charges for picking up and delivering a hearing aid that are billed on a separate claim for payment;
D. repairs to a hearing aid during the warranty period and other hearing aid services that the contract between the state and the hearing aid manufacturer specifies must be provided within the contract price;
E. purchase without prior authorization of a hearing aid not covered by a contract obtained through the competitive bidding process under part 9505.0200;
F. hearing aid services billed on a separate claim for payment when the payment for the service is included in the dispensing fee for the hearing aid;
G. hearing aid drying kits, battery chargers, swim molds, or adapters for telephones, television, or radio;
H. canal hearing aids;
I. routine cleaning, checking, and other maintenance of hearing aids without request or referral from the recipient, the recipient's family, guardian, or attending physician; and
J. hearing aids prescribed or hearing aid services ordered by a physician if the hearing aids or the hearing aid services are provided by a person or entity that commits a felony listed in United States Code, title 42, section 1320a-7b, subject to the exceptions listed in Code of Federal Regulations, title 42, part 1001, section 952.
History
- Statutory Authority: MS s 256B.04
- History: 17 SR 2042; L 2005 c 56 s 2; 34 SR 537
Minn. R. 9505.0290 Home Health Agency Services
Subpart 1. Definition.
For the purposes of this part, "home health agency services" means a medically necessary health service provided by an agency qualified under subpart 2, prescribed by a physician as part of a written plan of care, and provided under the direction of a registered nurse to a recipient at his or her residence. For the purposes of this part, "residence" is a place other than a hospital or long-term care facility.
Subp. 2. Eligible providers.
To be eligible for participation in the medical assistance program as a home health agency, the provider must be certified to participate under title XVIII of the Social Security Act under Code of Federal Regulations, title 42, sections 405.1201 to 405.1230.
Subp. 3. Eligible home health agency services.
The following home health agency services are eligible for medical assistance payment.
A. Nursing service as defined by Minnesota Statutes, section 148.171, subdivision 15.
B. Home health aide services provided under the direction of a registered nurse on the order of a physician. For the purposes of this part, "home health aide" means an employee of a home health agency who is not licensed to provide nursing services, but who has been approved by the directing nurse to perform medically oriented tasks written in the plan of care.
C. Medical supplies and equipment ordered in writing by a physician or doctor of podiatry.
D. Rehabilitative and therapeutic services under part 9505.0390, and including respiratory therapy under part 9505.0295, subpart 2, item E.
Subp. 4. Payment limitation.
To be eligible for medical assistance payment, a home health agency service must be documented in the recipient's health care record. The documentation shall include the date and nature of the service provided and the names of each home health aide, if any, and the registered nurse. In addition, continuation of the service must be reviewed and approved by the physician at least every 60 days.
Subp. 5. Excluded home health agency services.
Homemaker services, social services such as reading and recreational activities, and educational services are not eligible for payment under the medical assistance program.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 15 SR 2404; L 1999 c 172 s 18
Minn. R. 9505.0295 Home Health Services
Subpart 1. Definition.
For the purposes of this part, "home health service" means a medically necessary health service that is:
A. ordered by a physician; and
B. documented in a plan of care that is reviewed and revised as medically necessary by the physician at least once every 60 days; and
C. provided to the recipient at his or her residence that is a place other than a hospital or long-term care facility except as in part 9505.0360, or unless the home health service in an intermediate care facility is for an episode of acute illness and is not a required standard for care, safety, and sanitation in an intermediate care facility under Code of Federal Regulations, title 42, part 442, subpart F or G.
Subp. 2. Covered services.
Home health services in items A to H are eligible for medical assistance payment:
A. nursing services under part 9505.0290;
B. home care nursing services under part 9505.0360;
C. services of a home health aide under part 9505.0290;
D. personal care services under Minnesota Statutes, section 256B.0659;
E. respiratory therapy services ordered by a physician and provided by an employee of a home health agency who is a registered respiratory therapist or a certified respiratory therapist working under the direction of a registered respiratory therapist or a registered nurse. For purposes of this item, "registered respiratory therapist" means an individual who is registered as a respiratory therapist with the National Board for Respiratory Care; "certified respiratory therapist" means an individual who is certified as a respiratory therapist by the National Board for Respiratory Care; and "respiratory therapy services" means services defined by the National Board for Respiratory Care as within the scope of services of a respiratory therapist;
F. rehabilitative and therapeutic services that are defined under part 9505.0390, subpart 1;
G. medical supplies and equipment ordered in writing by a physician or doctor of podiatry; and
H. oxygen ordered in writing by a physician.
Subp. 3. Payment limitation; general.
Medical assistance payments for home health services shall be limited according to items A to C.
A. Home health services to a recipient that began before and are continued without increase on or after October 12, 1987, shall be exempt from the payment limitations of this subpart.
B. Home health services to a recipient that begin or are increased in type, number, or frequency on or after October 12, 1987, are eligible for medical assistance payment without a screening team's determination of the recipient's eligibility if the total payment for each of two consecutive months of home health services does not exceed $1,200. The limitation of $1,200 shall be adjusted annually on July 1 to reflect the annual percentage increase reported in the most recent Consumer Price Index (Urban) for the Minneapolis-Saint Paul area new series index (1967=100) as published by the Bureau of Labor Statistics, United States Department of Labor. The Consumer Price Index (Urban) is incorporated by reference and is available from the Minitex interlibrary loan system. It is subject to frequent change.
C. If the total payment for each of two consecutive months of home health services exceeds $1200, a screening team shall determine the recipient's eligibility for home health services based on the case mix classification established under Minnesota Statutes, section 256B.431, subdivision 1, that is most appropriate to the recipient's diagnosis, condition, and plan of care.
Subp. 4. Review of screening team determinations of eligibility.
The commissioner shall appoint a grievance committee comprised of persons familiar with the receipt or delivery of home health services. The committee shall have at least seven members, of whom a majority must be qualified recipients. At the request of the commissioner or a recipient, the committee shall review and advise the commissioner regarding the determination of the screening team under subpart 3.
Subp. 5. Payment limitation; screening team.
Medical assistance payment for screening team services provided in subpart 3 is prohibited for a screening team that has a common financial interest, with the provider of home health services or for a provider of a personal care service listed in Minnesota Statutes, section 256B.0659, subdivision 2, unless:
A. approval by the department is obtained before screening is done; or
B. the screening team and provider of personal care services are parts of a governmental personnel administration system.
History
- Statutory Authority: MS s 14.3895; 256B.04
- History: 12 SR 624; 13 SR 1448; 15 SR 2404; L 2005 c 56 s 2; L 2014 c 291 art 9 s 5; 48 SR 487
Minn. R. 9505.0297 Hospice Care Services
Subpart 1. Applicability.
Parts 9505.0297 and 9505.0446 must be read in conjunction with United States Code, title 42, section 1396a, and Code of Federal Regulations, title 42, part 418.
Subp. 2. Definitions.
For purposes of this part and part 9505.0446, the following terms have the meanings given them.
A. "Business days" means every day except Saturday, Sunday, and legal holidays in Minnesota.
B. "Cap amount" means the limit on overall hospice reimbursement provided by part 9505.0446, subpart 4, and Code of Federal Regulations, title 42, sections 418.308 and 418.309, as amended through October 1, 1987.
C. "Employee" means an employee of the hospice or, if the hospice is a subdivision of an agency or organization, an employee of the agency or organization who is assigned to the hospice unit. Employee also includes a volunteer under the supervision of the hospice.
D. "Home" means the recipient's place of residence.
E. "Hospice" has the meaning given to hospice program in Minnesota Statutes, section 144A.48, subdivision 1, clause (4).
F. "Hospice care" means the services provided by a hospice to a terminally ill recipient under this part.
G. "Inpatient care" means the services provided by an inpatient facility to a recipient who has been admitted to a hospital, long-term care facility, or facility of a hospice that provides care 24 hours a day.
H. "Inpatient facility" means a hospital, long-term care facility, or facility of a hospice that provides care 24 hours a day.
I. "Interdisciplinary group" has the meaning given to interdisciplinary team in Minnesota Statutes, section 144A.48, subdivision 1, clause (5).
J. "Palliative care" has the meaning given in Minnesota Statutes, section 144A.48, subdivision 1, clause (6).
K. "Representative" means a person who, because of the terminally ill recipient's mental or physical incapacity, may execute or revoke an election of hospice care on behalf of the recipient under Minnesota law.
L. "Respite care" means short-term inpatient care provided to the recipient only when necessary to relieve the family members or other persons caring for the recipient.
M. "Social worker" means a person who has at least a bachelor's degree in social work from a program accredited or approved by the Council of Social Work Education and who complies with Minnesota Statutes, sections 148B.21 to 148B.289.
N. "Terminally ill" means that the recipient has a medical prognosis that life expectancy is six months or less.
Subp. 3. Provider eligibility.
A provider of hospice services is eligible for medical assistance payments if the provider is:
A. licensed or registered as a hospice under Minnesota Statutes, section 144A.48 or 144A.49; and
B. certified as a provider of hospice services under Medicare, in accordance with title XVIII of the Social Security Act, and Code of Federal Regulations, title 42, part 418.
Subp. 4. Recipient eligibility.
To be eligible for medical assistance coverage of hospice care, a recipient must be certified as being terminally ill in the manner required by subpart 5.
Subp. 5. Certification of terminal illness.
Within two calendar days after hospice care is initiated, the hospice must obtain written statements certifying that the recipient is terminally ill, signed by:
A. the medical director of the hospice or the physician member of the hospice's interdisciplinary group; and
B. the recipient's attending physician, if the recipient has one. Within two calendar days after the recipient's first 90 days of hospice care and within two calendar days after the beginning of each subsequent 90-day period, the hospice must obtain a written statement certifying that the recipient is terminally ill, signed by the medical director of the hospice or the physician member of the hospice's interdisciplinary group.
Subp. 6. Election of hospice care.
A recipient who is eligible for hospice care under subpart 4 and elects to receive hospice care, must submit an election statement to the hospice. The statement must include:
A. designation of the hospice that will provide care;
B. the recipient's acknowledgment that the recipient fully understands that the hospice provides palliative care rather than curative care with respect to the recipient's terminal illness;
C. the recipient's acknowledgment that the services under subpart 9 are waived by the election;
D. the effective date of the election, which must be no earlier than the date that the election is signed; and
E. the recipient's signature.
Subp. 7. Election by representative.
A representative of the recipient may make the election and sign and submit the election statement to the hospice for the recipient according to subpart 6.
Subp. 8. Notification of the election.
The hospice must mail or deliver a copy of the election statement required by subpart 6 to the local agency of the recipient's county of service, as defined by part 9505.0015, subpart 27, within two business days after the date the hospice receives the signed election statement.
Subp. 9. Waiver of other benefits.
A recipient who elects hospice care under subpart 6 or for whom a representative elects hospice care under subpart 7 waives the right to medical assistance payments during the recipient's hospice stay for the following services:
A. Hospice care provided by a hospice other than the hospice designated by the recipient or the recipient's representative, unless the care is provided under arrangements made by the designated hospice.
B. Health services related to treatment of the terminal illness for which hospice care was elected or a condition related to the terminal illness, or services that are equivalent to hospice care, except for services:
C. Personal care services, under Minnesota Statutes, section 256B.0659.
Subp. 10. Duration of hospice services.
A recipient may receive hospice care until the recipient revokes the election under subpart 11 or no longer is eligible for hospice care under subpart 4.
Subp. 11. Revoking the election.
A recipient or the recipient's representative may revoke the election of medical assistance coverage of hospice care at any time. To revoke the election, the recipient or representative must submit a statement to the hospice that includes:
A. a signed statement that the recipient or representative revokes the recipient's election of medical assistance coverage of hospice care; and
B. the date that the revocation is to be effective, which must be no earlier than the date on which the revocation is signed.
Subp. 12. Notification of revocation.
The hospice must mail or deliver a copy of the revocation statement submitted under subpart 11 to the local agency of the recipient's county of service, as defined by part 9505.0015, subpart 27, within two business days after the date that the hospice receives the signed statement revoking the election.
Subp. 13. Effect of revocation.
A recipient, upon revoking the election of medical assistance coverage of hospice care under subpart 11:
A. is no longer covered under medical assistance for hospice care;
B. resumes medical assistance coverage of the benefits waived under subpart 9; and
C. may elect to receive medical assistance coverage of hospice care at a later time, if eligible under this part at that time.
Subp. 14. Change of hospice.
A recipient or the recipient's representative may change the designation of the hospice from which the recipient will receive hospice care. The change of the designated hospice is not a revocation of the election of medical assistance coverage of hospice care. To change the designation of the hospice, the recipient or the recipient's representative must submit both to the hospice where care has been received and to the newly designated hospice a signed statement that includes the following information:
A. the name of the hospice where the recipient has received care and the name of the hospice from which the recipient plans to receive care; and
B. the date the change is to be effective.
Subp. 15. Requirements for medical assistance payment.
To be eligible for medical assistance coverage, hospice care must be:
A. reasonable and necessary for the palliation or management of the terminal illness and conditions related to the terminal illness;
B. in compliance with Minnesota Statutes, sections 144A.43 to 144A.49, and with the rules adopted under Minnesota Statutes, section 144A.48; and
C. consistent with the recipient's plan of care, established by the hospice.
Subp. 16. Covered services.
As required by the recipient's plan of care, the services listed in items A to D must be provided directly by hospice employees, except that the hospice may contract for these services under the circumstances provided for in Code of Federal Regulations, title 42, section 418.80. As required by the recipient's plan of care, the services listed in items E to I must be provided directly or be made available by the hospice.
A. Nursing services provided by or under the supervision of a registered nurse.
B. Medical social services provided by a social worker under the direction of a physician.
C. Services performed by a physician, dentist, optometrist, or chiropractor.
D. Counseling services provided to the terminally ill recipient and the family members or other persons caring for the recipient at the recipient's home. Counseling, including dietary counseling, may be provided both to train the recipient's family or other caregiver to provide care, and to help the recipient and those caring for the recipient adjust to the recipient's approaching death.
E. Inpatient care, including procedures necessary for pain control or acute or chronic symptom management provided in a Medicare or medical assistance certified hospital, skilled nursing facility, or hospice unit that provides inpatient care. Inpatient care must conform to the written plan of care. A hospice that provides inpatient care must meet the standards in Code of Federal Regulations, title 42, sections 418.100(a) and (f), as amended through October 1, 1987.
F. Inpatient care, as a means of providing respite for the recipient's family or other persons caring for the recipient at home, provided in a Medicare or medical assistance certified hospital, skilled nursing facility, or hospice unit that provides inpatient care, or in a medical assistance certified intermediate care facility, subject to subpart 18.
G. Medical equipment and supplies, including drugs. Only drugs approved by the commissioner under part 9505.0340, subpart 3, item A, and used primarily to relieve pain and control symptoms of the recipient's terminal illness are covered. Medical equipment includes durable medical equipment as well as other self-help and personal comfort items related to the palliation or management of the recipient's terminal illness. Medical equipment must be provided by the hospice for use in the recipient's home while the recipient is under hospice care. Medical supplies include those specified in the written plan of care.
H. Home health aide services and homemaker services. Home health aides may provide personal care services as described in Minnesota Statutes, section 256B.0659, subdivision 2. Home health aides and homemakers may perform household services to maintain a safe and sanitary environment in areas of the home used by the recipient, such as changing the recipient's bed linens or light cleaning and laundering essential to the comfort and cleanliness of the recipient. Home health aide services must be provided under the supervision of a registered nurse.
I. Physical therapy, occupational therapy, and speech-language pathology services provided to control symptoms or to enable the recipient to maintain activities of daily living and basic functional skills.
Subp. 17. Services provided during a crisis.
A hospice may provide nursing services, including homemaker or home health aide services, to a recipient on a continuous basis for as much as 24 hours a day during a crisis as necessary to maintain a recipient at home. More than half of the care during the crisis must be nursing care provided by a registered nurse or licensed practical nurse. A crisis is a period in which the recipient requires continuous care for palliation or management of acute medical symptoms.
Subp. 18. Respite care.
A hospice may provide respite care to a recipient only on an occasional basis and may not be paid for more than five consecutive days of respite care at a time. A hospice shall not provide respite care to a recipient who resides in a long-term care facility.
Subp. 19. Bereavement counseling.
Bereavement counseling services must be made available by the hospice to the recipient's family until one year after the recipient's death. For purposes of this subpart, family includes persons related to the recipient or those considered by the recipient to be family because of their close association.
Subp. 20. Medical assistance payment for hospice care.
Medical assistance shall be paid to a hospice for covered services according to part 9505.0446.
History
- Statutory Authority: MS s 14.3895; 256B.02
- History: 13 SR 1861; L 1997 c 193 s 47; 48 SR 487
Minn. R. 9505.0300 Inpatient Hospital Services
Subpart 1. Definition.
"Inpatient hospital service" means a health service provided to a recipient who is an inpatient.
Subp. 2. Eligibility for participation in medical assistance program; general.
To be eligible for participation in the medical assistance program, a hospital must meet the conditions of items A to C.
A. Be qualified to participate in Medicare, except as in subpart 4.
B. Have in effect a utilization review plan applicable to all recipients. The plan must meet the requirements of the Code of Federal Regulations, title 42, section 405.1035 and part 456, unless a waiver has been granted by the secretary of the United States Department of Health and Human Services. The hospital's utilization review plans must ensure a timely review of the medical necessity of admissions, extended duration stay, and health services rendered.
C. Comply with the requirements of the Code of Federal Regulations, title 42, concerning informed consent for a voluntary sterilization procedure under section 441.257 and for a hysterectomy, under section 441.255, and for the documentation for abortion, under sections 441.205 and 441.206.
Subp. 3. Payment limitation.
Payment for inpatient hospital services to a recipient shall be made according to parts 9500.1090 to 9500.1140. Inpatient hospital services that are medically necessary for treatment of the recipient's condition are not eligible for a separate payment but are included within the payment rate established under parts 9500.1090 to 9500.1155. An example of a medically necessary service is a private room that the recipient's physician certifies as medically necessary.
Subp. 4. Eligibility for participation in medical assistance; emergency.
A hospital service provided to a recipient in an emergency is eligible for medical assistance payment regardless of whether the hospital providing the service is qualified to participate in Medicare. Urgent care services do not qualify for medical assistance payment under this subpart. For the purposes of this subpart, "urgent care" means acute, episodic care similar to services provided in a physician directed clinic.
Subp. 5. Excluded services.
Inpatient hospital admission and services are not eligible for payment under the medical assistance program if they are not medically necessary under parts 9505.0501 to 9505.0545; if they are for alcohol detoxification that is not medically necessary to treat an emergency; if they are denied a required prior authorization; or if they are surgical procedures requiring a second surgical opinion that has failed to be approved by a second or third surgical opinion.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0305 Laboratory and X-Ray Services
Subpart 1. Definition.
"Laboratory and X-ray service" means a professional or technical health related laboratory or radiological service directly related to the diagnosis and treatment of a recipient's health status.
Subp. 2. Covered service.
To be eligible for medical assistance payment, an independent laboratory or x-ray service must be ordered by a provider and must be provided in an office or facility other than a clinic, hospital, or hospital outpatient facility as defined in part 9505.0330, subpart 1. Only laboratory services certified by Medicare are eligible for medical assistance payment.
Subp. 3. Eligible provider.
To be eligible for participation as a provider of independent laboratory service, a vendor must be certified according to Code of Federal Regulations, title 42, sections 405.1310 to 405.1317. To be eligible for participation as a provider of x-ray service, a vendor must be in compliance with Code of Federal Regulations, title 42, sections 405.1411 to 405.1416.
Subp. 4. Payment limitation.
A claim for medical assistance payment of an independent laboratory or x-ray service must be submitted to the department by the provider who performs the service. The payment must be made to the provider who performed the service. The payment must not exceed the amount established by Medicare for the service.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0310 Medical Supplies and Equipment
Subpart 1. Conditions for payment.
To be eligible for payment under the medical assistance program, medical supplies and equipment must meet the conditions in items A to C.
A. A purchase of nondurable medical supplies not requiring prior authorization must not exceed an amount necessary to provide a one month supply.
B. The cost of a repair to durable medical equipment that is rented or purchased by the medical assistance program under a warranty is not eligible for medical assistance payment if the repair is covered by the warranty.
C. In the case of rental equipment, the sum of rental payments during the projected period of the recipient's use must not exceed the purchase price allowed by medical assistance unless the sum of the projected rental payments in excess of the purchase price receives prior authorization. All rental payments must apply to purchase of the equipment.
Subp. 2. Payment limitation on durable medical equipment in hospitals and long-term care facilities.
Durable medical equipment is subject to the payment limitations in items A and C.
A. A provider who furnishes durable medical equipment for a recipient who is a resident of a hospital or long-term care facility may submit a separate claim for medical assistance payment if the equipment has been modified for the recipient or the item is necessary for the continuous care and exclusive use of the recipient to meet the recipient's unusual medical need according to the written order of a physician. For purposes of this item, "modified" refers to the addition of an item to a piece of durable medical equipment that cannot be removed without damaging the equipment or refers to the addition of an item to a piece of durable medical equipment that permanently alters the equipment. Equipment purchased through medical assistance on a separate claim for payment becomes the property of the recipient. Payment for durable medical equipment that is not for the continuous care and exclusive use of the recipient is included within the payment rate made to the hospital under parts 9500.1090 to 9500.1140 and to the long-term care facility under part 9549.0060.
B. In addition to the types of equipment and supplies specified in Minnesota Statutes, section 256B.441, subdivision 11, the following durable medical equipment, prosthetics, and medical supplies are considered to be included in the payment to a hospital or long-term care facility and are not eligible for medical assistance payment on a separate claim for payment.
C. Any medical equipment encompassed within the definition of depreciable equipment as defined in part 9549.0020, subpart 17, is not eligible for medical assistance payment on a separate claim for payment under parts 9505.0170 to 9505.0475.
Subp. 3. Payment limitation; prior authorization.
Prior authorization is a condition of medical assistance payment for the medical supplies and equipment in items A to C:
A. a nondurable medical supply that costs more than the performance agreement limit;
B. durable medical equipment, prostheses, and orthoses if the cost of their purchase, projected cumulative rental for the period of the recipient's expected use, or repairs exceeds the performance agreement limit; and
C. maintenance of durable medical equipment. For purposes of this subpart, "maintenance" means a service made at routine intervals based on hours of use or calendar days to ensure that equipment is in proper working order. "Repair" means service to restore equipment to proper working order after the equipment's damage, malfunction, or cessation of function.
Subp. 4. Excluded medical supplies and equipment.
The medical supplies and equipment in items A to F are not eligible for medical assistance payments:
A. medical supplies and equipment that are not covered under Medicare except for raised toilet seats; bathtub chairs and seats; bath lifts; prosthetic communication devices; and any item that meets the criteria in part 9505.0210;
B. routine, periodic maintenance on medical equipment owned by a long-term care facility or hospital when the cost of maintenance is billed to medical assistance on a separate claim for payment;
C. durable medical equipment that will serve the same purpose as equipment already in use by the recipient;
D. medical supplies or equipment requiring prior authorization when the prior authorization is not obtained;
E. dental hygiene supplies and equipment; and
F. stock orthopedic shoes as defined in part 9505.0350, subpart 6, item A.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; L 2014 c 262 art 5 s 6
Minn. R. 9505.0315 Medical Transportation
Subpart 1. Definitions.
For purposes of this part, the following terms have the meanings given them.
A. "Ancillary services" means health services, incident to ambulance services, that may be medically necessary on an individual basis, but are not routinely used, and are not included in the base rate for ambulance service.
B. "Common carrier transportation" means the transport of a recipient by a bus, taxicab, or other commercial carrier or by private automobile.
C. "Ambulance service" means the transport of a recipient whose medical condition or diagnosis requires medically necessary services before and during transport.
D. "Medical transportation" means the transport of a recipient for the purpose of obtaining a covered service or transporting the recipient after the service is provided. The types of medical transportation are common carrier, life support, and special transportation.
E. "No load transportation" refers to medical transportation that does not involve transporting a recipient.
F. "Special transportation" means the transport of a recipient who, because of a physical or mental impairment, is unable to use a common carrier and does not require ambulance service. For the purposes of item F, "physical or mental impairment" means a physiological disorder, physical condition, or mental disorder that prohibits access to or safe use of common carrier transportation.
Subp. 2. Payment limitations; general.
To be eligible for medical assistance payment, medical transportation must be to or from the site of a covered service to a recipient. Examples of covered services are the services specified in parts 9505.0170 to 9505.0475 and services provided by a rehabilitation facility or a training and habilitation center.
Subp. 3. Payment limitations; transportation between providers of covered services.
Medical transportation of a recipient between providers of covered services is eligible for medical assistance payment as specified in items A to C.
A. Except for an emergency, transportation between two long-term care facilities must be medically necessary because the health service required by the recipient's plan of care is not available at the long-term care facility where the recipient resides.
B. Transportation between two hospitals must be to obtain a medically necessary service that is not available at the hospital where the recipient was when the medical necessity was diagnosed.
C. Claims for payment for transportation between two long-term care facilities or between two hospitals must be documented by a statement signed by a member of the nursing staff at the originating facility that the medically necessary health service is part of the recipient's plan of care and is not available at the originating facility.
Subp. 4. Payment limitation; transportation of deceased person.
Payment for transportation of a deceased person is limited to the circumstances in items A to C.
A. If a recipient is pronounced dead by a legally authorized person after medical transportation is called but before it arrives, service to the point of pickup is eligible for payment.
B. If medical transportation is provided to a recipient who is pronounced dead en route or dead on arrival by a legally authorized person, the medical transportation is eligible for payment.
C. If a recipient is pronounced dead by a legally authorized person before medical transportation is called, medical transportation is not eligible for payment.
Subp. 5. Excluded costs related to transportation; general.
The costs of items A to F are not eligible for payment as medical transportation:
A. transportation of a recipient to a hospital or other site of health services for detention that is ordered by a court or law enforcement agency except when ambulance service is a medical necessity;
B. transportation of a recipient to a facility for alcohol detoxification that is not a medical necessity;
C. no load transportation except as in subpart 6, item E;
D. additional charges for luggage, stair carry of the recipient, and other airport, bus, or railroad terminal services;
E. airport surcharge; and
F. federal or state excise or sales taxes on air ambulance service.
Subp. 6. Payment limitations; ambulance service.
To be eligible for the medical assistance payment rate as an ambulance service, the service must comply with the conditions in items A to E.
A. The provider must be licensed under Minnesota Statutes, sections 144E.10 and 144E.16 as an advanced life support, basic life support, or scheduled ambulance service.
B. The provider must identify the level of medically necessary services provided to the recipient in the claim for payment.
C. The medical necessity of the ambulance service for a recipient must be documented by the state report required under Minnesota Statutes, section 144E.17.
D. The recipient's transportation must be in response to a 911 emergency call, a police or fire department call, or an emergency call received by the provider. Except as in item E, an ambulance service that responds to an emergency call but does not transport a recipient as a result of the call is not eligible for medical assistance payment.
E. An ambulance that responds to a medical emergency is eligible for payment for no load transportation only if the ambulance provided medically necessary treatment to the recipient at the pickup point of the recipient. The payment is limited to charges for transportation to the point of pickup and for ancillary services.
Subp. 7. Payment limitation; special transportation.
To be eligible for medical assistance payment, a provider of special transportation, except as specified in Minnesota Statutes, section 174.30, must be certified by the Department of Transportation under Minnesota Statutes, sections 174.29 to 174.30. Payment eligibility of special transportation is subject to the limitations in items A to C.
A. The special transportation is provided to a recipient who has been determined eligible for special transportation by the local agency on the basis of a certification of need by the recipient's attending physician.
B. Special transportation to reach a health service destination outside of the recipient's local trade area is ordered by the recipient's attending physician and the local agency has approved the service.
C. The cost of special transportation of a recipient who participates in a training and habilitation program is not eligible for reimbursement on a separate claim for payment if transportation expenses are included in the per diem payment to the intermediate care facility for the developmentally disabled or if the transportation rate has been established under parts 9525.1200 to 9525.1330.
D. [Repealed, L 2013 c 81 s 12]
Subp. 8. Payment limitation; common carrier transportation.
To be eligible for medical assistance payment, the claim for payment of common carrier transportation must state the date of service, the origin and destination of the transportation, and the charge. Claims for payment must be submitted to the local agency.
Subp. 9. Payment limitation; air ambulance.
Transportation by air ambulance shall be eligible for medical assistance payment if the recipient has a life threatening condition that does not permit the recipient to use another form of transportation.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; L 1987 c 209 s 39; L 1988 c 689 art 2 s 268; L 1997 c 199 s 14; L 2005 c 56 s 2; L 2013 c 81 s 12
Minn. R. 9505.0320 Nurse Midwife Services
Subpart 1. Definitions.
For the purposes of this part, the following terms have the meanings given them.
A. "Maternity period" means the interval comprised of a woman's pregnancy, labor, and delivery and up to 60 days after delivery.
B. "Nurse midwife" means a registered nurse who is certified as a nurse midwife by the American College of Nurse Midwives.
C. "Nurse midwife service" means a health service provided by a nurse midwife for the care of the mother and newborn throughout the maternity period.
Subp. 2. Payment limitation.
Medical assistance payment for nurse midwife service is limited to services necessary to provide the care of the mother and newborn throughout the maternity period and provided within the scope of practice of the nurse midwife.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0322 Mental Health Case Management Services
Subpart 1. Definitions.
The terms used in this part have the meanings given them in items A to G and in part 9505.0370.
A. "Clinical supervision" has the meaning given in Minnesota Statutes, section 245.462, subdivision 4a, for case management services to an adult, or section 245.4871, subdivision 7, for case management services to a child.
B. "Face-to-face" means the recipient is physically present with the case manager.
C. "Mental health case management service" or "case management service" means a service that assists a person eligible for medical assistance in gaining access to needed medical, social, educational, and other services necessary to meet the person's mental health needs and that coordinates and monitors the delivery of these needed services.
D. For purposes of this part, "recipient" means a person who has been determined by the local agency to be eligible for the medical assistance program, who has a serious and persistent mental illness or severe emotional disturbance as determined by a diagnostic assessment, and who has been determined eligible for case management services by the local agency.
E. "Serious and persistent mental illness" means the condition of an adult as specified in Minnesota Statutes, section 245.462, subdivision 20, paragraph (c).
F. "Severe emotional disturbance" means the condition of a child as specified in Minnesota Statutes, section 245.4871, subdivision 6.
G. "Updating" or "updated" has the meaning given in Minnesota Statutes, section 245.467, subdivision 2, for an adult, or section 245.4876, subdivision 2, for a child.
Subp. 2. Determination of eligibility to receive case management services.
The local agency must determine whether a person is eligible for case management services. The determination must be based on a diagnostic assessment of the person as a person with a serious and persistent mental illness or a severe emotional disturbance or on a determination according to subpart 4.
Subp. 3. Required contents of a diagnostic assessment.
To be eligible for medical assistance payment, the diagnostic assessment required for a determination of a recipient's eligibility to receive mental health case management services must comply with the requirements of parts 9505.0370 to 9505.0372. Additionally, the diagnostic assessment must identify the needs that must be addressed in the recipient's individual treatment plan if the recipient is determined to have a serious and persistent mental illness or a severe emotional disturbance.
Subp. 4. Eligibility if person does not have a current diagnostic assessment.
Medical assistance payment is available for case management services provided to a medical assistance eligible person who does not have a current diagnostic assessment if all of the following criteria are met:
A. the person requests or is referred for and accepts case management services;
B. the diagnostic assessment is refused at the time of the person's referral or request for case management services by:
C. the case manager determines that the person is eligible for case management services; and
D. the person obtains a new or updated diagnostic assessment within four months of the day the person first receives case management services.
Subp. 5. Determination of recipient's continued eligibility for case management services.
A recipient's continued eligibility for case management services under this part and parts 9520.0900 to 9520.0926 must be determined every 36 months by the local agency. The determination of whether the recipient continues to have a diagnosis of serious and persistent mental illness or severe emotional disturbance must be based on updating the recipient's diagnostic assessment or on the results of conducting a complete diagnostic assessment because the recipient's mental health status or behavior has changed markedly. Unless a recipient's mental health status or behavior has changed markedly since the recipient's most recent diagnostic assessment, only updating is necessary. If the recipient's mental health status or behavior has changed markedly, a new diagnostic assessment must be completed.
Subp. 6. Eligible provider of case management services.
A local agency, or an entity under contract to a local agency to provide case management services, is eligible to enroll as a provider of case management services.
Subp. 7. Condition to receive medical assistance payment; case manager qualifications.
To be eligible for medical assistance payment, a case management service must be provided by a case manager who is qualified under Minnesota Statutes, section 245.462, subdivision 4, for services to an adult, or section 245.4871, subdivision 4, for services to a child.
Subp. 8. Condition to receive medical assistance payment; clinical supervision required.
To be eligible for medical assistance payment for a case management service provided to a recipient by a mental health practitioner, the mental health practitioner must receive clinical supervision according to the requirements of Minnesota Statutes, section 245.462, subdivision 4a, for an adult, or section 245.4871, subdivision 7, for a child.
Subp. 9. Case management services eligible for medical assistance payment.
Case management services provided to a recipient that are eligible for medical assistance payment are:
A. face-to-face contact between the case manager and the recipient;
B. telephone contact between the case manager and the recipient; the recipient's mental health provider or other service providers; the recipient's family members, legal representative, or primary caregiver; or other interested persons;
C. face-to-face contacts between the case manager and the recipient's family, legal representative, or primary caregiver; mental health providers or other service providers; or other interested persons;
D. contacts between the case manager and the case manager's clinical supervisor about the recipient;
E. individual community support plan and assessment development, review, and revision required under Minnesota Statutes, section 245.4711, subdivision 4, for an adult, or section 245.4881, subdivision 4, for a child;
F. travel time spent by the case manager to meet face-to-face with the recipient who resides outside of the county of financial responsibility; and
G. travel time spent by the case manager within the county of financial responsibility to meet face-to-face with the recipient or the recipient's family, legal representative, or primary caregiver. For purposes of items F and G, if a case manager arrives on time for a scheduled face-to-face appointment with a recipient, the recipient's family, legal representative, or primary caregiver and the person fails to keep the appointment, the time spent by the case manager in traveling to and from the site of the scheduled appointment is eligible for medical assistance payment.
Subp. 10. Limitation on payments for services.
Payment for case management services shall be limited according to items A to G.
A. Payment for case management services is limited to no more than ten hours per recipient per month, excluding time required for out-of-county travel under subpart 9, item F. The payment may be for any combination of the services specified in subpart 9, except that payment for telephone contact between a case manager and the recipient; the recipient's family, legal representative, or primary caregiver; mental health provider and other service providers; or other interested persons is limited to no more than three hours per recipient per month.
B. When traveling with a recipient, a case manager may not bill concurrently for both a face-to-face session with the recipient and travel time.
C. An assessment that duplicates an assessment eligible for payment under subpart 2 or 5 is not eligible for medical assistance payment.
D. Payment for case management services to a recipient is limited to the services of one case manager per unit of time per recipient.
E. Time spent by the case manager in charting and record keeping is not eligible for separate medical assistance payment as a case management service.
F. Time spent by the case manager in court during which the case manager is not providing a case management service that would otherwise be eligible for medical assistance payment is not a covered service.
G. Time spent in communication with other case managers who are members of the recipient's case management team under part 9520.0916 or 9520.0917 is not a covered service unless the recipient is a face-to-face participant in the communication.
Subp. 11. Documentation of services.
To obtain medical assistance payment for case management services, the case manager must document the recipient's case management services according to the requirements of parts 9505.2175 and 9505.2180. Additionally, if a case manager who provides other mental health services eligible for medical assistance payment to a recipient who receives case management services from the case manager and intersperses the recipient's case management service and the other mental health services eligible for medical assistance payment within the same session, the case manager must clearly document in the recipient's record the intervals in which each service was provided.
Subp. 12. Recovery of payment.
Medical assistance payments received by a case management provider for case management services that are not documented as required in subpart 11 are subject to recovery under parts 9505.2160 to 9505.2245.
Subp. 13. Excluded service.
Client outreach for the purpose of seeking persons who potentially may be eligible for medical assistance and mental health case management services under this part is not eligible for medical assistance payment.
Subp. 14. Coordination of case management services with other programs.
Case management services to recipients receiving case management services through a program other than medical assistance shall be coordinated as specified in items A to D.
A. Recipients who are receiving case management services through the Veterans Administration are not eligible for case management services under parts 9520.0900 to 9520.0926 and this part while they are receiving case management through the Veterans Administration.
B. Persons receiving home and community-based services under a waiver are not eligible for case management services under parts 9520.0900 to 9520.0926 and this part if these services duplicate each other. For purposes of this subpart, "home and community-based services under a waiver" refers to services furnished under a waiver obtained by the state from the United States Department of Health and Human Services as specified in Code of Federal Regulations, title 42, sections 440.180 and 441.300 to 441.310.
C. Except as provided in subpart 2, if a recipient has the diagnosis of developmental disability and the diagnosis of mental illness or emotional disturbance, the county shall assign the recipient a case manager for services to persons with developmental disability according to parts 9525.0015 to 9525.0165 and shall notify the recipient of the availability of case management services under parts 9520.0900 to 9520.0926. If the adult or the adult's legal representative or, in the case of a child, the child's parent or legal representative or, if appropriate, the child chooses case management services under parts 9520.0900 to 9520.0926, the case manager assigned under parts 9525.0015 to 9525.0165 and the case manager chosen under parts 9520.0900 to 9520.0926 shall work together as a team to ensure that the person receives services required under parts 9520.0900 to 9520.0926 and 9525.0015 to 9525.0165. The case manager under parts 9520.0900 to 9520.0926 shall be responsible for assuring that the requirements of parts 9520.0900 to 9520.0926 and 9525.0015 to 9525.0165 are met.
D. A recipient who has been assessed as chemically dependent under parts 9530.6615 and 9530.6620 and who also is determined to have a serious and persistent mental illness or a severe emotional disturbance is eligible to receive case management services under parts 9520.0900 to 9520.0926 and this part. The case manager assigned under parts 9520.0900 to 9520.0926 must coordinate the recipient's case management services with any similar services the person is receiving from other sources.
E. For purposes of this part, a recipient enrolled with a prepaid health plan under a prepaid medical assistance plan established under Minnesota Statutes, section 256B.031, is eligible for case management services as specified in this part on a fee-for-service basis from a provider other than the prepaid health plan.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1454; L 2005 c 56 s 2; 35 SR 1967
Minn. R. 9505.0323 Repealed by subpart
Subpart 1.
[Repealed, 35 SR 1967]
Subp. 2.
[Repealed, 35 SR 1967]
Subp. 3.
[Repealed, 35 SR 1967]
Subp. 4.
[Repealed, 35 SR 1967]
Subp. 5.
[Repealed, 35 SR 1967]
Subp. 6.
[Repealed, 35 SR 1967]
Subp. 7.
[Repealed, 35 SR 1967]
Subp. 8.
[Repealed, 35 SR 1967]
Subp. 9.
[Repealed, 35 SR 1967]
Subp. 10.
[Repealed, 35 SR 1967]
Subp. 11.
[Repealed, 35 SR 1967]
Subp. 12.
[Repealed, 35 SR 1967]
Subp. 13.
[Repealed, 35 SR 1967]
Subp. 14.
[Repealed, 27 SR 1714; 35 SR 1967]
Subp. 15.
[Repealed, 35 SR 1967]
Subp. 16.
[Repealed, 35 SR 1967]
Subp. 17.
[Repealed, 35 SR 1967]
Subp. 18.
[Repealed, 35 SR 1967]
Subp. 19.
[Repealed, 35 SR 1967]
Subp. 20.
[Repealed, 35 SR 1967]
Subp. 21.
[Repealed, 35 SR 1967]
Subp. 22.
[Repealed, 17 SR 1454; 35 SR 1967]
Subp. 23.
[Repealed, 35 SR 1967]
Subp. 24.
[Repealed, 35 SR 1967]
Subp. 25.
[Repealed, 35 SR 1967]
Subp. 26.
[Repealed, 35 SR 1967]
Subp. 27.
[Repealed, 35 SR 1967]
Subp. 28.
[Repealed, 35 SR 1967]
Subp. 29.
[Repealed, 35 SR 1967]
Subp. 30.
[Repealed, 35 SR 1967]
Subp. 31.
[Repealed, 35 SR 1967]
Subp. 32.
[Repealed, 35 SR 1967]
Minn. R. 9505.0324 [Repealed, L 2003 1Sp14 art 4 s 24]
[Repealed, L 2003 1Sp14 art 4 s 24]
Minn. R. 9505.0325 Nutritional Products
Subpart 1. Definition.
"Nutritional product" means a commercially formulated substance that provides nourishment and affects the nutritive and metabolic processes of the body.
Subp. 2. Eligible provider.
To be eligible for medical assistance payment, a parenteral nutritional product must be prescribed by a physician and must be dispensed as a pharmacy service under part 9505.0340. To be eligible for medical assistance payment, an enteral nutritional product must be prescribed by a physician and supplied by a pharmacy or a medical supplier who has signed a medical supplies agreement with the department.
Subp. 3. Payment limitation; enteral nutritional products.
Except as provided in subparts 4 and 5, an enteral nutritional product must receive prior authorization to be eligible for medical assistance payment.
Subp. 4. Covered services; enteral nutritional products for designated health condition.
An enteral nutritional product is a covered service and does not require prior authorization if it is necessary to treat a condition listed in items A to D:
A. phenylketonuria;
B. hyperlysinemia;
C. maple syrup urine disease; or
D. a combined allergy to human milk, cow milk, and soy formula.
Subp. 5. Covered services; enteral nutritional product for recipient discharged from a hospital.
An enteral nutritional product provided for a recipient being discharged from a hospital to a residence other than a long-term care facility does not require prior authorization of an initial supply adequate for 30 days or less.
Subp. 6. Payment limitations; long-term care facilities and hospitals.
An enteral nutritional product for a recipient in a long-term care facility or hospital is not eligible for payment on a separate claim for payment. Payment must be made according to parts 9500.1090 to 9500.1140, 9549.0010 to 9549.0080, and 9553.0010 to 9553.0080.
Subp. 7. Payment limitation; parenteral nutritional products.
Parenteral nutritional products are subject to the payment limitations applicable to pharmacy services as provided in part 9505.0340.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0326 [Repealed, L 2003 1Sp14 art 4 s 24]
[Repealed, L 2003 1Sp14 art 4 s 24]
Minn. R. 9505.0327 [Repealed, L 2003 1Sp14 art 4 s 24]
[Repealed, L 2003 1Sp14 art 4 s 24]
Minn. R. 9505.0330 Outpatient Hospital Services
Subpart 1. Definition.
"Outpatient hospital service" means a health service that is medically necessary and is provided to a recipient by or under the supervision of a physician, dentist, or other provider having medical staff privileges in an outpatient hospital facility licensed under Minnesota Statutes, section 144.50.
Subp. 2. Eligibility for participation in medical assistance program.
To be eligible for participation in the medical assistance program, an outpatient hospital facility must meet the requirements of part 9505.0300, subparts 2 and 4.
Subp. 3. Payment limitations; general.
Payment for an outpatient hospital service, other than an emergency outpatient hospital service, is subject to the same service and payment limitations that apply to covered services in parts 9505.0170 to 9505.0475. Further, the payment for an outpatient hospital service is subject to the same prior authorization requirement and payment rate that apply to a similar health service when that service is furnished by a provider other than an outpatient hospital facility.
Subp. 4. Payment limitations; emergency outpatient hospital service.
Medical assistance payments are allowed for the following service components of an emergency outpatient hospital service:
A. a facility usage charge based on the outpatient hospital facility's usual and customary charge for emergency services;
B. a separate charge for medical supplies not included in the usual and customary charge for emergency services;
C. a separate charge for a physician service not included in the usual and customary charge. Separate charges for items B and C must be billed in the manner prescribed by the department. For purposes of this subpart, "emergency outpatient hospital service" means a health service provided by an outpatient hospital facility in an area that is designated, equipped, and staffed for emergency services.
Subp. 5. Payment limitations; nonemergency outpatient hospital services.
An outpatient hospital service that is not an emergency but is provided in an area that is designated, equipped, and staffed for emergency services is not eligible for payment of a facility usage charge as specified in subpart 4, item A. An outpatient hospital service provided in an area of an outpatient hospital which is advertised, represented, or held out to the public as providing acute, episodic care similar to services provided in a physician directed clinic is not eligible for payment as an emergency outpatient hospital service.
Subp. 6. Payment limitation; laboratory and X-ray services.
Laboratory and X-ray services provided by an outpatient hospital as a result of a recipient's scheduled visit that immediately precedes hospital admission as an inpatient are not covered services.
Subp. 7. Excluded services.
The outpatient hospital services in items A to C are not eligible for payment under the medical assistance program:
A. diapers;
B. an outpatient hospital service provided by an employee of the hospital such as an intern or a resident when billed on a separate claim for payment; and
C. outpatient hospital service for alcohol detoxification that is not medically necessary to treat an emergency.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0335 [Repealed, 48 SR 487]
[Repealed, 48 SR 487]
Minn. R. 9505.0340 Pharmacy Services
Subpart 1. Definitions.
The following terms used in this part have the meanings given to them.
A. "Actual acquisition cost" means the cost to the provider including quantity and other special discounts except time and cash discounts.
B. "Compounded prescription" means a prescription prepared under part 6800.3100.
C. "Dispensing fee" means the amount allowed under the medical assistance program as payment for the pharmacy service in dispensing the prescribed drug.
D. "Maintenance drug" means a prescribed drug that is used by a particular recipient for a period greater than two consecutive months.
E. "Pharmacist" means a person licensed under Minnesota Statutes, chapter 151, to provide services within the scope of pharmacy practice.
F. "Pharmacy" means an entity registered by the Minnesota Board of Pharmacy under Minnesota Statutes, chapter 151.
G. "Pharmacy service" means the dispensing of drugs under Minnesota Statutes, chapter 151 or by a physician under subpart 2, item B.
H. "Prescribed drug" means a drug as defined in Minnesota Statutes, section 151.01, subdivision 5, and ordered by a practitioner.
I. "Practitioner" means a physician, osteopathic physician, dentist, or podiatrist licensed under Minnesota Statutes or the laws of another state or Canadian province to prescribe drugs within the scope of his or her profession.
J. "Usual and customary charge" refers to the meaning in part 9505.0175, subpart 49, whether the drug is purchased by prescription or over the counter, in bulk, or unit dose packaging. However, if a provider's pharmacy is not accessible to, or frequented by, the general public, or if the over the counter drug is not on display for sale to the general public, then the usual and customary charge for the over the counter drug shall be the actual acquisition cost of the product plus a 50 percent markup based on the actual acquisition cost. In this event, this calculated amount must be used in billing the department for an over the counter drug. Amounts paid in full or in part by third-party payers shall be included in the calculation of the usual and customary charge only if a third-party payer constitutes 51 percent or more of the pharmacy's business based on the number of prescriptions filled by the pharmacy on a quarterly basis.
Subp. 2. Eligible providers.
The following providers are eligible for payment under the medical assistance program for dispensing prescribed drugs:
A. a pharmacy that is licensed by the Minnesota Board of Pharmacy;
B. an out-of-state vendor under part 9505.0195, subpart 9; and
C. a physician located in a local trade area where there is no enrolled pharmacy. The physician to be eligible for payment shall personally dispense the prescribed drug according to Minnesota Statutes, section 151.37, and shall adhere to the labeling requirements of the Minnesota Board of Pharmacy.
Subp. 3. Payment limitations.
Payments for pharmacy services under the medical assistance program are limited as follows.
A. The prescribed drug must be a drug or compounded prescription that is approved by the commissioner for inclusion in the department's drug formulary. The drug formulary committee established under Minnesota Statutes, sections 256B.02, subdivision 8 and 256B.0625, shall recommend to the commissioner the inclusion of a drug or compounded prescription in the drug formulary. The commissioner may add or delete a drug or compounded prescription from the drug formulary. A provider, recipient, or seller of prescription drugs or compounded prescriptions may apply to the department on the form specified in the drug formulary to add or delete a drug from the drug formulary.
B. A prescribed drug must be dispensed in the quantity specified on the prescription unless the pharmacy is using unit dose dispensing or the specified quantity is not available in the pharmacy when the prescription is dispensed. Only one dispensing fee is allowed for dispensing the quantity specified on the prescription.
C. The dispensed quantity of a prescribed drug must not exceed a three month supply unless prior authorization is obtained by the pharmacist or dispensing physician.
D. An initial or refill prescription for a maintenance drug shall be dispensed in not less than a 30 day supply unless the pharmacy is using unit dose dispensing. No additional dispensing fee shall be paid until that quantity is used by the recipient.
E. Except as in item F, the dispensing fee billed by or paid to a particular pharmacy or dispensing physician for a maintenance drug for a recipient is limited to one fee per 30-day supply.
F. More than one dispensing fee per calendar month for a maintenance drug for a recipient is allowed if the record kept by the pharmacist or dispensing physician documents that there is a significant chance of overdosage by the recipient if a larger quantity of drug is dispensed, and if the pharmacist or dispensing physician writes a statement of this reason on the prescription.
G. A refill of a prescription must be authorized by the practitioner. Refilled prescriptions must be documented in the prescription file, initialed by the pharmacist who refills the prescription, and approved by the practitioner as consistent with accepted pharmacy practice under Minnesota Statutes, chapters 151 and 152.
H. A generically equivalent drug as defined in Minnesota Statutes, section 151.21, subdivision 2, must be dispensed in place of the prescribed drug if:
I. Unless otherwise established by the legislature, the amount of the dispensing fee shall be set by the commissioner. The fee shall be the lower of the average dispensing fee set by third-party payers in the state or the average fee determined by a cost of operation survey of pharmacy providers reduced by the yearly Consumer Price Index (urban) for the Minneapolis-Saint Paul area to the base year set by the legislature for other provider fees.
J. The cost of delivering a drug is not a covered service.
Subp. 4. Payment limitations; unit dose dispensing.
Drugs dispensed under unit dose dispensing in accordance with part 6800.3750 shall be subject to the medical assistance payment limitations in items A to C.
A. Dispensing fees for drugs dispensed in unit dose packaging as specified in part 6800.3750 shall not be billed or paid more often than once per calendar month or when a minimum of 30 dosage units have been dispensed, whichever results in the lesser number of dispensing fees, regardless of the type of unit dose system used by the pharmacy or the number of times during the month that the pharmacist dispenses the drug. If the recipient's drug supply is dispensed in small increments during the calendar month, the pharmacy must keep a written record of each dispensing act that shows the date, National Drug Code, and the quantity of the drug dispensed.
B. Only one dispensing fee per calendar month shall be billed or paid for each maintenance drug regardless of the type of unit dose system used by the pharmacy or the number of times during the month that the pharmacist dispenses the drug. If the recipient's drug supply is dispensed in small increments during the month, the pharmacy must keep a written record of each dispensing act that shows the date, National Drug Code, and the quantity of drug dispensed.
C. The date of dispensing must be reported as the date of service on the claim to the department except when the recipient's drug supply is dispensed in small increments during the month. For this exception, the last dispensing date of the calendar month must be reported on the claim to the department as the date of service. In the case of an exception, the quantity of drug dispensed must be reported as the cumulative total dispensed during the month or a minimum amount as required in item A, whichever results in the lesser number of dispensing fees.
Subp. 5. Return of drugs.
Drugs dispensed in unit dose packaging under part 6800.3750, subpart 2, shall be returned to a pharmacy as specified in items A to C when the recipient no longer uses the drug.
A. A provider of pharmacy services using a unit dose system must comply with part 6800.2700.
B. A long-term care facility must return unused drugs dispensed in unit dose packaging to the provider that dispensed the drugs.
C. The provider that receives the returned drugs must repay medical assistance the amount billed to the department as the cost of the drug.
Subp. 6. Billing procedure.
Providers of pharmacy services shall bill the department their usual and customary charge for the dispensed drug. All pharmacy claims submitted to the department must identify the National Drug Code printed on the container from which the prescription is actually filled. If a National Drug Code is not printed on the manufacturer's container from which the prescription is filled, the claim must name the code required by the department under the drug formulary, or identify either the generic or brand name of the drug. Except as provided in subpart 4, item C, the date reported as the date dispensed must be the date on which the quantity reported on the billing claim was dispensed.
Subp. 7. Maximum payment for prescribed drugs.
The maximum payment for a prescribed drug or compounded prescription under the medical assistance program must be the lowest of the following rates:
A. The maximum allowable cost for a drug established by the department or the Centers for Medicare and Medicaid Services of the United States Department of Health and Human Services plus a dispensing fee.
B. The actual acquisition cost for a drug plus a dispensing fee.
C. The pharmacy's usual and customary charge.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; L 1988 c 689 art 2 s 268; L 2002 c 277 s 32; L 2016 c 119 s 7
Minn. R. 9505.0345 Physician Services
Subpart 1. Definitions.
For purposes of this part, the following terms have the meanings given them.
A. "Physician directed clinic" means an entity with at least two physicians on staff which is enrolled in the medical assistance program to provide physician services.
B. "Physician's employee" means a nurse practitioner or physician assistant, mental health practitioner, or mental health professional.
C. "Physician service" means a medically necessary health service provided by or under the supervision of a physician.
Subp. 2. Supervision of nonenrolled vendor.
Except for a physician service provided in a physician directed clinic or a long-term care facility, a physician service by a physician's employee must be under the supervision of the provider in order to be eligible for payment under the medical assistance program.
Physician service in a physician directed clinic must be provided under the supervision of a physician who is on the premises and who is a provider.
Subp. 3. Physician service in long-term care facility.
A physician service provided by a physician's employee in a long-term care facility is a covered service if provided under the direction of a physician who is a provider except as in items A to C.
A. The service is a certification made at the recipient's admission.
B. The service is to write a plan of care required by Code of Federal Regulations, title 42, part 456.
C. The service is a physician visit in a skilled nursing facility required by Code of Federal Regulations, title 42, section 405.1123 or a physician visit in an intermediate care facility required by Code of Federal Regulations, title 42, section 442.346. For purposes of this subpart, "physician visit" means the term specified in Code of Federal Regulations, title 42, sections 405.1123 and 442.346.
Subp. 4. Payment limitation on medically directed weight reduction program.
A weight reduction program requires prior authorization. It is a covered service only if the excess weight complicates a diagnosed medical condition or is life threatening. The weight reduction program must be prescribed and administered under the supervision of a physician.
Subp. 5. Payment limitation on service to evaluate prescribed drugs.
Payment for a physician service to a recipient to evaluate the effectiveness of a drug prescribed in the recipient's plan of care is limited for each recipient to one service per week. The payment shall be made only for the evaluation of the effect of antipsychotic or antidepressant drugs.
Subp. 6. Payment limitation on podiatry service furnished by a physician.
The limitations and exclusions applicable to podiatry services under part 9505.0350, subparts 2 and 3, apply to comparable services furnished by a physician.
Subp. 7. Payment limitations on visits to long-term care facilities.
Payment for a physician visit to a long-term care facility is limited to once every 30 days per resident of the facility unless the medical necessity of additional visits is documented.
Subp. 8. Payment limitation on laboratory service.
A laboratory service ordered by a physician is subject to the payment limitation of part 9505.0305, subpart 4. Furthermore, payment for a laboratory service performed in a physician's laboratory shall not exceed the amount paid for a similar service performed in an independent laboratory under part 9505.0305.
Subp. 9. Payment limitation; more than one recipient on same day in same long-term care facility.
When a physician service is provided to more than one recipient who resides in the same long-term care facility by the same provider on the same day, payment for the provider's visit to the first recipient shall be according to part 9505.0445, item E, for the procedure code for the visit. The provider's visit on the same day to other recipients within the same long-term care facility must be billed with the multiple visit code established by the department. This subpart shall not apply to a provider's visit to provide an emergency service on the same day within the same long-term care facility if the emergency service could not have been scheduled consecutively with another recipient visit. If the provider visits other recipients in the same facility on the same day after providing an emergency service, the provider's visits must be billed with the multiple visit code.
Subp. 10. Excluded physician services.
The physician services in items A to E are not eligible for payment under the medical assistance program:
A. artificial insemination;
B. procedure to reverse voluntary sterilization;
C. surgery primarily for cosmetic purposes;
D. services of a surgical assistant; and
E. inpatient hospital visits when the physician has not had face-to-face contact with the recipient.
History
- Statutory Authority: MS s 14.3895; 256B.04
- History: 12 SR 624; 34 SR 1135
Minn. R. 9505.0350 Podiatry Services
Subpart 1. Definitions.
The following terms used in this part shall have the meanings given them.
A. "Foot hygiene" means the care of the foot to maintain a clean condition.
B. "Podiatry service" means a service provided by a podiatrist within the scope of practice defined in Minnesota Statutes, chapter 153.
Subp. 2. Payment for debridement or reduction of nails, corns, and calluses.
Debridement or reduction of pathological toenails and of infected or eczematized corns or calluses shall be a covered service. The service shall be eligible for payment once every 60 days.
Subp. 3. Limitation on payment for debridement or reduction of nails, corns, and calluses.
Payment for debridement or reduction of nonpathological toenails and of noninfected or noneczematized corns or calluses is limited to the conditions in items A to C.
A. The recipient has a diagnosis of diabetes mellitus, arteriosclerosis obliterans, Buerger's disease (thromboangitis obliterans), chronic thrombophlebitis, or peripheral neuropathies involving the feet. The service is eligible for payment only once every 60 days unless the service is required more often to treat ulcerations or abscesses complicated by diabetes or vascular insufficiency. Payment for treatment of ulcerations or abscesses complicated by diabetes or vascular insufficiency is limited to services that are medically necessary.
B. The recipient who is not a resident of a long-term care facility has a medical condition that physically prevents him or her from reducing the nail, corn, or callus. Examples of such a medical condition are blindness, arthritis, and malformed feet.
C. A podiatry visit charge must not be billed on the same date as the date of the service provided under item A or B.
Subp. 4. Limitation on payment for podiatry service provided to a resident of a long-term care facility.
To be eligible for medical assistance payment, a podiatry service provided to a recipient who resides in a long-term care facility must result from a self-referral or a referral by a registered nurse or a licensed practical nurse who is employed by the facility or the recipient's family, guardian, or attending physician.
Subp. 5. Payment limitation; more than one recipient on same day in same long-term care facility.
When a podiatry service is provided to more than one recipient who resides in the same long-term care facility by the same provider on the same day, payment for the provider's visit to the first recipient shall be according to part 9505.0445, item E, for the procedure code for the visit. The provider's visit on the same day to other recipients within the same long-term care facility must be billed with the multiple visit code established by the department. This subpart shall not apply to a provider's visit to provide an emergency service on the same day within the same long-term care facility if the emergency service could not have been scheduled consecutively with another recipient visit. If the provider visits other recipients in the same facility on the same day after providing an emergency service, the provider's visits must be billed with the multiple visit code.
Subp. 6. Excluded services.
The podiatry services in items A to I are not eligible for payment under the medical assistance program:
A. stock orthopedic shoes; "stock orthopedic shoes" means orthopedic shoes other than those built to a person's specifications as prescribed by a podiatrist;
B. surgical assistants;
C. local anesthetics that are billed as a separate procedure;
D. operating room facility charges;
E. foot hygiene;
F. use of skin creams to maintain skin tone;
G. service not covered under Medicare, or service denied by Medicare because it is not medically necessary;
H. debridement or reduction of the nails, corns, or calluses except as in subparts 2 to 4; and
I. if the recipient is a resident of a long-term care facility, general foot care that can be reasonably performed by nursing staff of long-term care facilities. An example of general foot care is the reduction of toenails, corns, or calluses of a recipient who is not diagnosed as having a medical condition listed in subpart 3.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0353 Prenatal Care Services
Subpart 1. Definitions.
For purposes of this part, the terms in items A to F have the meanings given them.
A. "At risk" refers to the recipient who requires additional prenatal care services because of a health condition that increases the probability of a problem birth or the delivery of a low birth weight infant. The term includes "at risk of poor pregnancy outcome" and "at high risk of poor pregnancy outcome."
B. "Prenatal care management" means the development, coordination, and ongoing evaluation of a plan of care for an at risk recipient by a physician or registered nurse on a one to one basis.
C. "Prenatal care services" refers to the total array of medically necessary health services provided to an at risk recipient during pregnancy. The services include those necessary for pregnancy and those additional services that are authorized in this part.
D. "Nutrition counseling" means services provided by a health care professional with specialized training in prenatal nutrition education to assess and to minimize the problems hindering normal nutrition in order to improve the recipient's nutritional status during pregnancy.
E. "Prenatal education" means services provided to recipients at risk of poor pregnancy outcomes by a health care professional with specialized training in instructing at risk recipients how to change their lifestyles, develop self care and parenting skills, and recognize warning signs of preterm labor and childbirth.
F. "Risk assessment" means identification of the medical, genetic, lifestyle, and psychosocial factors which identify recipients at risk of poor pregnancy outcomes.
Subp. 2. Risk assessment.
To be eligible for medical assistance payment, a provider of prenatal care services shall complete a risk assessment for a recipient for whom the services are provided. The risk assessment must be completed at the recipient's first prenatal visit.
Subp. 3. Additional service for at-risk recipients.
The services in items A to C shall be provided to a recipient if the recipient's risk assessment identifies the services as medically necessary because of her at-risk status.
A. Prenatal care management must include:
B. Nutrition counseling includes:
C. Prenatal education includes:
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 30 SR 1318
Minn. R. 9505.0355 Preventive Health Services
Subpart 1. Definition; preventive health service.
For the purposes of this part, "preventive health service" means a health service provided to a recipient to avoid or minimize the occurrence of illness, infection, disability, or other health condition. Examples are diabetes education, cardiac rehabilitation, weight loss programs, and nutrition counseling that meet the criteria established in part 9505.0210.
Subp. 2. Covered preventive health services.
To be eligible for medical assistance payment, a preventive health service must:
A. be provided to the recipient in person;
B. affect the recipient's health condition rather than the recipient's physical environment;
C. not be otherwise available to the recipient without cost as part of another program funded by a government or private agency;
D. not be part of another covered service;
E. be to minimize an illness, infection, or disability which will respond to treatment;
F. be generally accepted by the provider's professional peer group as a safe and effective means to avoid or minimize the illness; and
G. be ordered in writing by a physician and contained in the plan of care approved by the physician.
Subp. 3. Payment limitations.
The services in items A and B are not eligible for medical assistance payment:
A. service that is only for a vocational purpose or an educational purpose that is not health related; and
B. service dealing with external, social, or environmental factors that do not directly address the recipient's physical or mental health.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0360 Home Care Nursing Services
Subpart 1. Definition; home care nursing service.
For purposes of this part, "home care nursing service" means a nursing service ordered by a physician to provide individual and continual care to a recipient by a registered nurse or by a licensed practical nurse.
Subp. 2. Prior authorization requirement.
Medical assistance payment for home care nursing service provided to a recipient without prior authorization is limited to no more than 50 hours per month. Prior authorization is a condition of medical assistance payment for home care nursing services to a recipient in excess of 50 hours per month and for home care nursing services provided in a hospital or long-term care facility.
Subp. 3. Covered service.
A home care nursing service in items A to C is eligible for medical assistance payment:
A. service given to the recipient in his or her home, a hospital, or a skilled nursing facility if the recipient requires individual and continual care beyond the care available from a Medicare certified home health agency or personal care assistant or beyond the level of nursing care for which a long-term care facility or hospital is licensed and certified;
B. service given during medically necessary ambulance services; and
C. service that is required for the instruction or supervision of a personal care assistant under Minnesota Statutes, section 256B.0659. The service must be provided by a registered nurse.
Subp. 4. Payment limitations.
To be eligible for medical assistance payment, a home care nursing service must meet the conditions in items A to D.
A. The service must be ordered in writing by the recipient's physician.
B. The service must comply with the written plan of care approved by the recipient's physician.
C. The service may be provided only if:
D. The service must be given by a registered nurse or licensed practical nurse who is not the recipient's legal guardian or related to the recipient as spouse, parent, or child whether by blood, marriage, or adoption.
History
- Statutory Authority: MS s 14.3895; 256B.04
- History: 12 SR 624; L 1987 c 209 s 39; L 2014 c 291 art 9 s 5; 48 SR 487
Minn. R. 9505.0365 Prosthetic and Orthotic Devices
Subpart 1. Definitions.
The terms used in this part have the meanings given them.
A. "Ambulatory aid" means a prosthetic or orthotic device that assists a person to move from place to place.
B. "Prosthetic or orthotic device" means an artificial device as defined by Medicare to replace a missing or nonfunctional body part, to prevent or correct a physical deformity or malfunction, or to support a deformed or weak body part.
C. "Physiatrist" means a physician who specializes in physical medicine or physical therapy and who is board certified by the American Board of Physical Medicine and Rehabilitation.
Subp. 2.
[Repealed, L 2015 c 78 art 5 s 5]
Subp. 3.
[Repealed, L 2020 c 115 art 4 s 140]
Prior authorization of an ambulatory aid is required for an aid that costs in excess of the limits specified in the provider's performance agreement.
Subp. 4.
[Repealed, 17 SR 2042]
Subp. 5. Payment limitation; general.
The cost of repair to a prosthetic or orthotic device that is rented or purchased by the medical assistance program under a warranty is not eligible for medical assistance payment if the repair is covered by warranty.
Subp. 6. Excluded prosthetic and orthotic devices.
The prosthetic and orthotic devices in items A to J are not eligible for medical assistance payment:
A. a device for which Medicare has denied the claim as not medically necessary;
B. a device that is not medically necessary for the recipient;
C. a device, other than a hearing aid, that is provided to a recipient who is an inpatient or resident of a long-term care facility and that is billed directly to medical assistance except as in part 9505.0310, subpart 2;
D. repair of a rented device;
E. routine, periodic service of a recipient's device owned by a long-term care facility;
F. a device whose primary purpose is to serve as a convenience to a person caring for the recipient;
G. a device that is not received by the recipient;
H. a device that serves to address social and environment factors and that does not directly address the recipient's physical or mental health;
I. a device that is supplied to the recipient by the physician who prescribed the device or by the consultant to the physician in subpart 3; and
J. a device that is supplied to the recipient by a provider who is an affiliate of the physician who prescribes the device for the recipient or of the consultant to the physician as in subpart 3. For purposes of this item, "affiliate" means a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with the referring physician.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 17 SR 2042; L 2015 c 78 art 5 s 5; L 2020 c 115 art 4 s 140
Minn. R. 9505.0370 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9505.0371 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9505.0372 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9505.0380 Public Health Clinic Services
Subpart 1. Definition.
"Public health clinic services" means a health service provided by or under the supervision of a physician in a clinic that is a department of, or operates under the direct authority of a unit of government.
Subp. 2. Eligible health services.
The services in items A to F are eligible for payment as public health clinic services:
A. physician services as in part 9505.0345;
B. preventive health services as in part 9505.0355;
C. family planning services as in part 9505.0280;
D. prenatal care services as in part 9505.0353;
E. dental services as in part 9505.0270; and
F. early and periodic screening diagnosis and treatment as in Minnesota Statutes, section 256B.0625, subdivision 58.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0385 Rehabilitation Agency Services
Subpart 1. Definitions.
For purposes of this part, the following terms have the meanings given them in this part.
A. "Physical impairment" means physical disabilities including those physical disabilities that result in cognitive impairments.
B. "Rehabilitation agency" means a provider that is certified by Medicare to provide restorative therapy and specialized maintenance therapy as defined in part 9505.0390, subpart 1, items J and K, and to provide social or vocational adjustment services under the Code of Federal Regulations, title 42, section 405.1702, paragraph h.
Subp. 2. Covered services.
To be eligible for medical assistance payment, the services specified in items A and B that are provided by a rehabilitation agency must be ordered by a physician, must be related to the recipient's physical impairment, and must be designed to improve or maintain the functional status of a recipient with a physical impairment:
A. physician services under part 9505.0345; and
B. rehabilitative and therapeutic services as in part 9505.0390.
Subp. 3. Eligibility as rehabilitation agency service; required site of service.
To be eligible for medical assistance payment, a rehabilitation agency service must be provided at a site that has been surveyed by the Minnesota Department of Health and certified according to Medicare standards; or at a site that meets the standards of the State Fire Marshal as documented in the provider's records; or at the recipient's residence. If the federal government denies reimbursement for services at non-Medicare certified sites, because the sites are not Medicare certified, then the eligibility for rehabilitation agency services shall be restricted to sites which meet the Medicare certification standards.
Subp. 4. Social and vocational adjustment service provided by rehabilitation agency.
A social or vocational adjustment service provided by a rehabilitation agency must meet the requirements of Code of Federal Regulations, title 42, section 405.1702, must be provided as an unreimbursed adjunct to the covered services specified in subparts 2 and 3, and is not eligible for payment on a fee for service basis.
History
- Statutory Authority: MS s 256B.04
- History: 15 SR 2404
Minn. R. 9505.0386 Comprehensive Outpatient Rehabilitation Facilities
Subpart 1. Definition.
For purposes of this part and part 9505.0410, "comprehensive outpatient rehabilitation facility" means a nonresidential facility that is established and operated exclusively to provide diagnostic, therapeutic, and restorative services to outpatients for the rehabilitation of injured, disabled, or sick persons, at a single fixed location, by or under the direction of a physician and that meets the conditions of participation specified in Code of Federal Regulations, title 42, part 485, subpart B.
Subp. 2. Eligibility for payment.
To be eligible for medical assistance payment as a provider of rehabilitative and therapeutic services, a comprehensive outpatient rehabilitation facility must meet the requirements of parts 9505.0385 and 9505.0390. Additionally, mental health services provided by the comprehensive outpatient rehabilitation facility according to parts 9505.0370 to 9505.0372 shall be eligible for medical assistance payment.
History
- Statutory Authority: MS s 245.484; 256B.04
- History: 15 SR 2404; 35 SR 1967
Minn. R. 9505.0390 Rehabilitative and Therapeutic Services
Subpart 1. Definitions.
For purposes of parts 9505.0390 to 9505.0392 and 9505.0410 to 9505.0412, the following terms have the meanings given them in this part.
A. "Audiologist" means a person who maintains state licensure and registration requirements and meets the requirements of Code of Federal Regulations, title 42, chapter IV, subchapter C, part 440, subpart A, section 440.110.
B. "Delegation of duties" means, notwithstanding any other definition of direction in parts 9505.0170 to 9505.0475, the actions of a physical or occupational therapist who delegates to the physical therapist assistant or the occupational therapy assistant specific duties to be performed, monitors the provision of services as the therapy assistants provide the service, and meets the supervisory requirements of Minnesota Statutes, sections 148.706 and 148.6432, respectively when treatment is provided by a physical therapist assistant or occupational therapy assistant.
C. "Functional status" means the ability of the person to carry out the tasks associated with daily living.
D. "Occupational therapist" means a person who meets the requirements of Code of Federal Regulations, title 42, chapter IV, subchapter C, part 440, subpart A, section 440.110, and maintains applicable state licensure or is in compliance with state regulatory requirements in states that do not license.
E. "Occupational therapy assistant" means a person who has been certified by the National Board for Certification in Occupational Therapy and maintains applicable state licensure or is in compliance with state regulatory requirements in states that do not license an occupational therapy assistant.
F. "Physical therapist" means a person who is a graduate of a program of physical therapy accredited by the Commission on Accreditation in Physical Therapy Education or its equivalent, meets the requirements of Code of Federal Regulations, title 42, chapter IV, subchapter C, part 440, subpart A, section 440.110, and maintains applicable state licensure or is in compliance with state regulatory requirements in states that do not license.
G. "Physical therapist assistant" means a person who has successfully completed all academic and field work requirements of a physical therapist assistant program accredited by the Commission on Accreditation in Physical Therapy Education, and maintains applicable state licensure or is in compliance with state regulatory requirements in states that do not license.
H. "Rehabilitative and therapeutic services" means restorative therapy, specialized maintenance therapy, and rehabilitative nursing services.
I. "Rehabilitative nursing services" means rehabilitative nursing care as specified in part 4658.0525.
J. "Restorative therapy" means a health service that is specified in the recipient's plan of care and certified by a physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law that the service is designed to restore the recipient's functional status to a level consistent with the recipient's physical or mental limitations.
K. "Specialized maintenance therapy" means a health service that is specified in the recipient's plan of care and certified by a physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law that is necessary for maintaining a recipient's functional status at a level consistent with the recipient's physical or mental limitations, and that may include treatments in addition to rehabilitative nursing services.
L. "Speech-language pathologist" means a person completing the clinical fellowship year required for certification as a speech-language pathologist, or a person who has a certificate of clinical competence in speech-language pathology from the American Speech-Language-Hearing Association and, when it is applicable, maintains state licensure or is in compliance with state regulatory requirements in states that do not license and meets the requirements of Code of Federal Regulations, title 42, chapter IV, subchapter C, part 440, subpart A, section 440.110.
Subp. 2. Covered service; occupational therapy and physical therapy.
To be eligible for medical assistance payment as a rehabilitative and therapeutic service, occupational therapy and physical therapy must be:
A. prescribed by a physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law;
B. provided by a physical or occupational therapist or by a physical therapist assistant or occupational therapy assistant who, as appropriate, is under the supervision of a physical or occupational therapist as defined in part 9505.0390, subpart 1, items D to G;
C. provided to a recipient whose functional status is expected by the physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law to progress toward or achieve the objectives in the recipient's plan of care within a 90-day period; and
D. specified in a plan of care that is reviewed, and revised as medically necessary, by the recipient's attending physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law at least once every 90 days. If the service is provided to a recipient who is also eligible for Medicare and the service is a Medicare covered service, the plan of care must be reviewed in compliance with Code of Federal Regulations, title 42, chapter IV, subchapter G, part 485, subpart H, section 485.711.
Subp. 3. Covered service; speech-language service.
To be eligible for medical assistance payment as a rehabilitative and therapeutic service, a speech-language service must be:
A. provided upon written referral by a physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law or in the case of a resident of a long-term care facility, on the written order of a physician as specified in Code of Federal Regulations, title 42, section 483.45;
B. provided by a speech-language pathologist as defined in part 9505.0390, subpart 1, item L;
C. provided to a recipient whose functional status is expected by the physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law to progress toward or achieve the objectives in the recipient's plan of care within a 90-day period; and
D. specified in a plan of care that is reviewed, and revised as medically necessary, by the recipient's attending physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law at least once every 90 days unless the service is a Medicare covered service and is to a recipient who also is eligible for Medicare. If the service is to a recipient who also is eligible for Medicare and the service is a Medicare covered service, the plan of care must be reviewed in compliance with Code of Federal Regulations, title 42, chapter IV, subchapter G, part 485, subpart H, section 485.711.
Subp. 4. Covered service; audiology.
To be eligible for medical assistance payment as a rehabilitative and therapeutic service, an audiology service must be:
A. provided upon written referral by a physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law;
B. provided by an audiologist as defined in subpart 1, item A;
C. provided to a recipient whose functional status is expected by the physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law to progress toward or achieve the objectives in the recipient's plan of care within a 90-day period; and
D. specified in a plan of care that is reviewed, and revised as medically necessary, by the recipient's attending physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law at least once every 90 days unless the service is a Medicare covered service and is to a recipient who also is eligible for Medicare. If the service is to a recipient who also is eligible for Medicare and the service is a Medicare covered service, the plan of care must be reviewed in compliance with Code of Federal Regulations, title 42, chapter IV, subchapter G, part 485, subpart H, section 485.711.
Subp. 5. Covered service; specialized maintenance therapy.
To be eligible for medical assistance payment, specialized maintenance therapy must:
A. be provided by a physical therapist, physical therapy assistant, occupational therapist, occupational therapy assistant, or speech-language pathologist;
B. be specified in a plan of care that is reviewed, and revised as medically necessary, by the recipient's physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law at least once every 90 days unless the service is a Medicare covered service and is to a recipient who also is eligible for Medicare. If the service is to a recipient who also is eligible for Medicare and the service is a Medicare covered service, the plan of care must be reviewed at the intervals required by Medicare and the recipient must be visited by the physician or by the physician delegate as required by Medicare;
C. be provided to a recipient whose condition cannot be maintained or treated only through rehabilitative nursing services or services of other care providers, or by the recipient because the recipient's physical, cognitive, or psychological deficits result in:
D. have expected outcomes that are functional, realistic, relevant, and transferable to the recipient's current or anticipated environment, such as home, school, community, and work, and be consistent with community standards; and
E. meet at least one of the criteria in subitems (1) to (3):
Subp. 6. Payment for rehabilitative nursing service in long-term care facility.
Medical assistance payment for a rehabilitative nursing service in a long-term care facility is subject to the conditions in parts 9549.0010 to 9549.0080 and 9553.0010 to 9553.0080.
Subp. 7. Payment limitation; therapy assistants and aides.
To be eligible for medical assistance payment on a fee-for-service basis, delegated health services provided by therapy assistants must be provided under the supervision of a physical or occupational therapist. Services of a therapy aide in a long-term care facility are not separately reimbursable on a fee for service basis. Services of a therapy aide in a setting other than a long-term care facility are not reimbursable.
Subp. 8. Excluded restorative and specialized maintenance therapy services.
Restorative and specialized maintenance therapy services in items A to K are not eligible for medical assistance payment:
A. physical or occupational therapy that is provided without a prescription of a physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law;
B. speech-language or audiology service that is provided without a written referral from a physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law;
C. services provided by a long-term care facility that are included in the costs covered by the per diem payment under parts 9549.0010 to 9549.0080 and 9553.0010 to 9553.0080 including:
D. arts and crafts activities for the purpose of recreation;
E. service that is not medically necessary;
F. service that is not documented in the recipient's health care record;
G. service specified in a plan of care that is not reviewed, and revised as medically necessary, by the recipient's attending physician or other licensed practitioner of the healing arts within the practitioner's scope of practice under state law as required in subparts 2 to 5;
H. service that is not designed to improve or maintain the functional status of a recipient with a physical impairment or a cognitive or psychological deficit;
I. service that is not part of the recipient's plan of care;
J. service by more than one provider of the same type of rehabilitative and therapeutic services, for the same diagnosis unless the service is provided by a school district as specified in the recipient's individualized education program under Minnesota Statutes, section 256B.0625, subdivision 26; and
K. service that is provided by a rehabilitation agency as defined in part 9505.0385, subpart 1, item B, and that takes place in a sheltered workshop, in a developmental achievement center as defined in part 9525.1210, subpart 8, or service at a residential or group home which is an affiliate of the rehabilitation agency.
History
- Statutory Authority: MS s 144A.04; 144A.08; 256B.04; 256B.431
- History: 15 SR 2404; 20 SR 303; 26 SR 487; L 2011 1Sp11 art 3 s 12; 38 SR 246
Minn. R. 9505.0391 Therapists Eligible to Enroll as Providers
A physical therapist, an occupational therapist, an audiologist, or a speech-language pathologist is eligible to enroll as a provider if the therapist complies with the requirements of part 9505.0195. Additionally, a physical therapist, occupational therapist, audiologist, or speech-language pathologist must be enrolled by Medicare.
History
- Statutory Authority: MS s 256B.04
- History: 15 SR 2404; 33 SR 847; 38 SR 246
Minn. R. 9505.0392 Compliance with Medicare Requirements
Notwithstanding requirements of parts 9505.0385, 9505.0386, 9505.0390, and 9505.0391, a rehabilitative and therapeutic service that is denied Medicare payment because of the provider's failure to comply with Medicare requirements shall not be eligible for medical assistance reimbursement.
History
- Statutory Authority: MS s 256B.04
- History: 15 SR 2404
Minn. R. 9505.0395 Rural Health Clinic Services and Federally Qualified Health Center Services
Subpart 1. Definition.
"Rural health clinic service" and "federally qualified health center service" are health services provided in a clinic or center defined in Code of Federal Regulations, title 42, chapter IV, subchapter B, part 405, subpart X, and meeting the conditions set forth in Code of Federal Regulations, title 42, chapter IV, subchapter E, part 491, subpart A.
Subp. 2. Covered services.
All health services provided by a rural health clinic or a federally qualified health center are covered services within the limitations applicable to the same services under parts 9505.0170 to 9505.0475 if the clinic's or center's staffing requirements and written policies governing health services provided by personnel other than a physician are in compliance with Code of Federal Regulations, title 42, chapter IV, subchapter E, part 491, subpart A, section 491.8. The limitations on supervision specified in part 9505.0175, subpart 46, do not apply to supervision of physician assistants working in a clinic or a center. Supervision of physician assistants in clinics or centers is governed by the standards in Code of Federal Regulations, title 42, chapter IV, subchapter E, part 491, subpart A, section 491.8.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 21 SR 525
Minn. R. 9505.0405 [Repealed, 19 SR 2004]
[Repealed, 19 SR 2004]
Minn. R. 9505.0410 Long-Term Care Facilities; Rehabilitative and Therapeutic Services to Residents
Subpart 1. Eligible providers.
The providers in items A to F are eligible for medical assistance payment on a fee for service basis for restorative therapy and specialized maintenance therapy that is provided according to part 9505.0390 and that is provided at the site of a long-term care facility to a recipient residing in the long-term care facility:
A. a long-term care facility as defined in part 9505.0175, subpart 23;
B. a rehabilitation agency as defined in part 9505.0385;
C. a comprehensive outpatient rehabilitation facility as defined in part 9505.0386;
D. a physical therapist as defined in part 9505.0390;
E. an occupational therapist as defined in part 9505.0390; and
F. a speech-language pathologist or audiologist as defined in part 9505.0390, subpart 1, item E.
Subp. 2. Payment limitation.
To be eligible for medical assistance payment, rehabilitative and therapeutic services provided to recipients residing in a long-term care facility must comply with the requirements of parts 9505.0170 to 9505.0475.
Subp. 3. Payment for restorative therapy and specialized maintenance therapy.
Medical assistance payment for restorative therapy and specialized maintenance therapy may be made according to part 9505.0445, item O, or as provided in parts 9549.0010 to 9549.0080 or 9553.0010 to 9553.0080, or as specified in the contract between the department and a prepaid health plan according to part 9505.0285.
Subp. 4. Payment for rehabilitative nursing services.
Medical assistance payment for rehabilitative nursing services shall be as provided in parts 9549.0010 to 9549.0080 or 9553.0010 to 9553.0080, as applicable. However, payment for a rehabilitative nursing service shall not be made on a fee for service basis.
Subp. 5. Reporting of fees for service by long-term care facility.
A long-term care facility that receives medical assistance payment on a fee for service basis for the provision of restorative and specialized maintenance therapy to a resident shall report the therapy income in accordance with parts 9549.0010 to 9549.0080 or 9553.0010 to 9553.0080, as applicable. This subpart applies to medical assistance payments made to the long-term care facility for therapy services provided by an employee or by a related organization. For purposes of this subpart, "related organization" has the meaning given it in Minnesota Statutes, section 256B.433, subdivision 3, paragraph (b).
Subp. 6. Prohibited practices.
If medical assistance payment is made to a provider other than a long-term care facility for restorative therapy and specialized maintenance therapy, the long-term care facility in which the recipient resides must not request or receive payment from the provider in excess of the limit on charges specified in Minnesota Statutes, section 256B.433, subdivision 3, paragraph (c).
History
- Statutory Authority: MS s 256B.04
- History: 15 SR 2404
Minn. R. 9505.0411 Long-Term Care Facilities; Rehabilitative and Therapeutic Services to Nonresidents
Rehabilitative and therapeutic services provided by and at the site of a long-term care facility to a recipient who is not a resident of a long-term care facility are eligible for medical assistance payment if the facility is certified by Medicare as an outpatient therapy provider, under Code of Federal Regulations, title 42, part 405, subpart Q, if the service is a covered service, and if the requirements of parts 9505.0390 to 9505.0412 are met.
History
- Statutory Authority: MS s 256B.04
- History: 15 SR 2404
Minn. R. 9505.0412 Required Documentation of Rehabilitative and Therapeutic Services
A rehabilitative or therapeutic service provided under parts 9505.0385, 9505.0386, 9505.0390, 9505.0391, 9505.0395, 9505.0410, and 9505.0411 must be documented as specified in items A to D.
A. The service must be specified in the recipient's plan of care that is reviewed and revised as medically necessary by the recipient's physician at least once every 90 days. If the service is to a recipient who is also eligible for Medicare and the service is a Medicare covered service, the plan of care must be reviewed in compliance with Code of Federal Regulations, title 42, chapter IV, subchapter G, part 485, subpart H, section 485.711.
B. The recipient's plan of care must state:
C. The recipient's plan of care must be signed by the recipient's physician or other licensed practitioner of the healing arts.
D. The record of the recipient's service must show:
History
- Statutory Authority: MS s 256B.04
- History: 15 SR 2404; 38 SR 246
Minn. R. 9505.0415 Long-Term Care Facilities; Leave Days
Subpart 1. Definitions.
For the purpose of this part, the following terms have the meanings given them.
A. "Certified bed" means a bed certified under title XIX of the Social Security Act.
B. "Discharge" or "discharged" refers to the status of a recipient as defined in part 9549.0051, subpart 7, as published in the State Register, December 1, 1986, volume 11, number 22.
C. "Hospital leave" means the status of a recipient who has been transferred from the long-term care facility to an inpatient hospital for medically necessary health care, with the expectation the recipient will return to the long-term care facility.
D. "Leave day" means any calendar day during which the recipient leaves the facility and is absent overnight, and all subsequent, consecutive calendar days. An overnight absence from the facility of less than 23 hours does not constitute a leave day. Nevertheless, if the recipient is absent from the facility to participate in active programming of the facility under the personal direction and observation of facility staff, the day shall not be considered a leave day regardless of the number of hours of the recipient's absence. For purposes of this item, "calendar day" means the 24 hour period ending at midnight.
E. "Reserved bed" means the same bed that a recipient occupied before leaving the facility for hospital leave or therapeutic leave or an appropriately certified bed if the recipient's physical condition upon returning to the facility prohibits access to the bed he or she occupied before the leave.
F. "Therapeutic leave" means the absence of a recipient from a long-term care facility, with the expectation of the recipient's return to the facility, to a camp meeting applicable licensure requirements of the Minnesota Department of Health, a residential setting other than a long-term care facility, a hospital, or other entity eligible to receive federal, state, or county funds to maintain a recipient. Leave for a home visit or a vacation is a therapeutic leave.
Subp. 2. Payment for leave days.
A leave day is eligible for payment under medical assistance, subject to the limitations of this part. The leave day must be for hospital leave or therapeutic leave of a recipient who has not been discharged from the long-term care facility. A reserved bed must be held for a recipient on hospital leave or therapeutic leave.
Subp. 3. Hospital leave.
A hospital leave for which a leave day is claimed must comply with the conditions in items A to C if the leave day is to be eligible for medical assistance payment.
A. The recipient must have been transferred from the long-term care facility to a hospital.
B. The recipient's health record must document the date the recipient was transferred to the hospital and the date the recipient returned to the long-term care facility.
C. The leave days must be reported on the invoice submitted by the long-term care facility.
Subp. 4. Therapeutic leave.
A therapeutic leave for which a leave day is claimed must comply with the conditions in items A and B if the leave day is to be eligible for payment under medical assistance.
A. The recipient's health care record must document the date and the time the recipient leaves the long-term care facility and the date and the time of return.
B. The leave days must be reported on the invoice submitted by the long-term care facility.
Subp. 5. Payment limitations on number of leave days for hospital leave.
Payment for leave days for hospital leave is limited to 18 consecutive days for each separate and distinct episode of medically necessary hospitalization. For the purpose of this part "separate and distinct episode" means:
A. the occurrence of a health condition that is an emergency;
B. the occurrence of a health condition which requires inpatient hospital services but is not related to a condition which required previous hospitalization and was not evident at the time of discharge; or
C. the repeat occurrence of a health condition that is not an emergency but requires inpatient hospitalization at least two calendar days after the recipient's most recent discharge from a hospital.
Subp. 6. Payment limitations on number of leave days for therapeutic leave.
Payment for leave days for therapeutic leave is limited to the number of days as in items A to D:
A. recipients receiving skilled nursing facility services as provided in part 9505.0420, subpart 2, 36 leave days per calendar year;
B. recipients receiving intermediate care facility services as provided in part 9505.0420, subpart 3, 36 leave days per calendar year;
C. recipients receiving intermediate care facility, developmentally disabled services as provided in part 9505.0420, subpart 4, 72 leave days per calendar year. In addition to the number of leave days specified in this item, the commissioner may approve up to 48 additional therapeutic leave days per calendar year for family activities if:
D. recipients residing in a long-term care facility that has a license to provide services for persons with physical disabilities as provided in parts 9570.2000 to 9570.3400, 72 leave days per calendar year.
Subp. 7. Payment limitation on billing for leave days.
Payment for leave days for hospital leave and therapeutic leave shall be subject to the limitation as in items A to C. For purposes of this subpart, a reserved bed is not a vacant bed when determining occupancy rates and eligibility for payment of a leave day.
A. Long-term care facilities with 25 or more licensed beds shall not receive payment for leave days in a month for which the average occupancy rate of licensed beds is 93 percent or less.
B. Long-term care facilities with 24 or fewer licensed beds shall not receive payment for leave days if a licensed bed has been vacant for 60 consecutive days prior to the first leave day of a hospital leave or therapeutic leave.
C. The long-term care facility charge for a leave day for a recipient must not exceed the charge for a leave day for a private paying resident. "Private paying resident" has the meaning given in Minnesota Statutes, section 256B.441, subdivision 32.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; 19 SR 1227; L 2005 c 56 s 2; L 2014 c 262 art 5 s 6
Minn. R. 9505.0420 Long-Term Care Facility Services
Subpart 1. Covered service.
Services provided to a recipient in a long-term care facility are eligible for medical assistance payment subject to the provisions in subparts 2, 3, and 4, and in parts 9505.2250 to 9505.2380, 9549.0010 to 9549.0080, and 9553.0010 to 9553.0080.
Subp. 2. Payment limitation; skilled nursing care facility.
The medical assistance program shall pay the cost of care of a recipient who resides in a skilled nursing facility when the recipient requires:
A. daily care ordered by the recipient's attending physician on a 24 hour basis; and one of the following:
B. nursing care as defined in Minnesota Statutes, section 144A.01, subdivision 6, that can be safely performed only by or under the direction of a registered nurse in compliance with parts 4655.0090 to 4655.9342; or
C. rehabilitative and therapeutic services as in part 9500.1070, subpart 13.
Subp. 3. Payment limitation; intermediate care facility, levels I and II.
The medical assistance program shall pay the cost of care of a recipient who resides in a facility certified as an intermediate care facility, level I or II by the Department of Health when the recipient requires:
A. daily care ordered by the recipient's attending physician to be provided in compliance with parts 4655.0090 to 4655.9342;
B. ongoing care and services because of physical or mental limitations that can be appropriately cared for only in an intermediate care facility.
Subp. 4. Payment limitation; intermediate care facility, developmentally disabled.
The medical assistance program shall pay the cost of care of a recipient who resides in a facility certified as an intermediate care facility for developmentally disabled persons licensed under Minnesota Statutes, sections 144.50 to 144.56, or chapter 144A and licensed for program services under parts 9525.0210 to 9525.0430 when the recipient:
A. meets the admission criteria specified in Code of Federal Regulations, title 42, section 442.418;
B. requires care under the management of a qualified developmental disability professional; and
C. requires active treatment as defined in Code of Federal Regulations, title 42, section 435.1010.
Subp. 5. Exemptions from the federal utilization control requirements.
A skilled nursing facility, an intermediate care facility, or intermediate care facility for developmentally disabled persons that is operated, listed, and certified as a Christian Science sanatorium by the First Church of Christ, Scientist, of Boston, Massachusetts, is not subject to the federal regulations for utilization control in order to receive medical assistance payments for the cost of recipient care.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; L 2005 c 56 s 2; L 2013 c 59 art 3 s 21
Minn. R. 9505.0425 Resident Fund Accounts
Subpart 1. Use of resident fund accounts.
A resident who resides in a long-term care facility may choose to deposit his or her funds including the personal needs allowance established under Minnesota Statutes, section 256B.35, subdivision 1, in a resident fund account administered by the facility.
Subp. 2. Administration of resident fund accounts.
A long-term care facility must administer a resident fund account as in items A to I and parts 4655.4100 to 4655.4170.
A. The facility must credit to the account all funds attributable to the account including interest and other forms of income.
B. The facility must not commingle resident funds with the funds of the facility.
C. The facility must keep a written record of the recipient's resident fund account. The written record must show the date, amount, and source of a deposit in the account, and the date and amount of a withdrawal from the account. The facility must record contemporaneously a deposit or withdrawal and within five working days after the deposit or withdrawal must update the recipient's individual written record to reflect the transaction.
D. The facility shall require a recipient who withdraws $10 or more at one time to sign a receipt for the withdrawal. The facility shall retain the receipt and written records of the account until the account is subjected to the field audit required under Minnesota Statutes, section 256B.35, subdivision 4. A withdrawal of $10 or more that is not documented by a receipt must be credited to the recipient's account. Receipts for the actual item purchased for the recipient's use may substitute for a receipt signed by the recipient.
E. The facility must not charge the recipient a fee for administering the recipient's account.
F. The facility must not solicit donations or borrow from a resident fund account.
G. The facility shall report and document to the local agency a recipient's donation of money to the facility when the donation equals or exceeds the statewide average monthly per person rate for skilled nursing facilities determined under parts 9549.0010 to 9549.0080. This documentation may be audited by the commissioner.
H. The facility must not use resident funds as collateral for or payment of any obligations of the facility.
I. Payment of any funds remaining in a recipient's account when the recipient dies or is discharged shall be treated under part 4655.4170.
Subp. 3. Limitations on purpose for which resident fund account funds may be used.
Except as otherwise provided in this part, funds in a recipient's resident fund account may not be used to purchase the materials, supplies, or services specified in items A to F. Nevertheless, the limitations in this subpart do not prohibit the recipient from using his or her funds to purchase a brand name supply or other furnishing or item not routinely supplied by the long-term care facility.
A. Medical transportation as provided in part 9505.0315.
B. The initial purchase or the replacement purchase of furnishings or equipment required as a condition of certification as a long-term care facility.
C. Laundering of the recipient's clothing as provided in Minnesota Statutes, section 256B.441, subdivision 22.
D. Furnishings or equipment which are not requested by the recipient for his or her personal convenience.
E. Personal hygiene items necessary for daily personal care. Examples are bath soap, shampoo, toothpaste, toothbrushes, dental floss, shaving cream, nonelectric shaving razor, and facial tissues.
F. Over the counter drugs or supplies used by the recipient on an occasional, as needed basis that have not been prescribed for long-term therapy of a medical condition. Examples of over the counter drugs or supplies are aspirin, aspirin compounds, acetaminophen, antacids, antidiarrheals, cough syrups, rubbing alcohol, talcum powder, body lotion, petrolatum jelly, lubricating jelly, and mild antiseptic solutions.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; L 2014 c 262 art 5 s 6
Minn. R. 9505.0430 Health Care Insurance Premiums
The medical assistance program shall pay the cost of a premium to purchase health insurance coverage for a recipient when the premium purchases coverage limited to health services and the department approves the health insurance coverage as cost-effective.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0440 Medicare Billing Required
A provider shall comply with the Medicare billing requirements in items A and B.
A. A provider who is authorized to participate in Medicare shall bill Medicare before billing medical assistance for services covered by Medicare unless the provider has reason to believe that a service covered by Medicare will not be eligible for payment. A provider shall not be required to take an action that may jeopardize the limitation on liability under Medicare as specified in Code of Federal Regulations, title 42, section 405.195. However, the provider must document that, because of recent claim experiences with Medicare or because of written communication from Medicare, coverage is not available.
B. A provider specified in item A shall accept Medicare assignment if the medical assistance payment rate for the service to the recipient is at the same rate or less than the Medicare payment.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0445 Payment Rates
The maximum payment rates for health services established as covered services by parts 9505.0170 to 9505.0475 shall be as in items A to U.
A. For skilled nursing care facility services, the rates shall be as established in parts 9549.0010 to 9549.0080 and Minnesota Statutes, sections 256B.431, 256B.434, and 256B.441.
B. For intermediate care facility services, the rates shall be as established in parts 9549.0010 to 9549.0080 and Minnesota Statutes, sections 256B.501 to 256B.5013.
C. For services of an intermediate care facility for persons with developmental disability, the rates shall be as established in parts 9553.0010 to 9553.0080.
D. For hospital services, the rates shall be as established in parts 9500.1090 to 9500.1140.
E. For audiology services, chiropractic services, dental services, mental health center services, physical therapy, physician services, podiatry services, psychological services, speech pathology services, and vision care, the rate shall be the lowest of the provider's submitted charge, the provider's individual customary charge submitted during the calendar year specified in the legislation governing maximum payment rates, or the 50th percentile of the usual and customary fees based upon billings submitted by all providers of the service in the calendar year specified in legislation governing maximum payment rates.
F. For clinic services other than rural health clinic services, the rate shall be the lowest of the provider's submitted charge, the provider's individual customary charge submitted during the calendar year specified in the legislation governing maximum payment rates, the 50th percentile of the usual and customary fees based upon billings submitted by all providers of the service in the calendar year specified in legislation governing maximum payment rates, or Medicare payment amounts for comparable services under comparable circumstances.
G. For outpatient hospital services excluding emergency services and excluding facility fees for surgical services, the rate shall be the lowest of the provider's submitted charge, the provider's individual customary charge submitted in the calendar year specified in legislation governing maximum payment rates, the 50th percentile of the usual and customary fees based upon billings submitted by all providers of the service in the calendar year specified in legislation governing maximum payment rates, or Medicare payment amounts for comparable services under comparable circumstances.
H. For facility services which are performed in an outpatient hospital or an ambulatory surgical center, the rate shall be the lower of the provider's submitted charge or the standard flat rate under Medicare reimbursement methods for facility services provided by ambulatory surgical centers. The standard flat rate shall be the rate based on Medicare costs reported by ambulatory surgical centers for the calendar year in legislation governing maximum payment rates.
I. For facility fees for emergency outpatient hospital services, the rate shall be the provider's individual usual and customary charge for facility services based on the provider's costs in calendar year 1983. The calendar year in this item shall be revised as necessary to be consistent with calendar year revisions enacted after October 12, 1987, in legislation governing maximum payments for providers named in item D.
J. For home health agency services, the rate shall be the lower of the provider's submitted charge or the Medicare cost per visit limits based on Medicare cost reports submitted by free standing home health agencies in the Minneapolis and Saint Paul area in the calendar year specified in legislation governing maximum payment rates for services in item E.
K. For home care nursing services, the rate shall be the lower of the provider's submitted charge or the maximum rate established by the legislature. The maximum rate shall be adjusted annually on July 1 to reflect the annual percentage increase reported in the most recent Consumer Price Index (Urban) for the Minneapolis - Saint Paul area new series index (1967=100) as published by the Bureau of Labor Statistics, United States Department of Labor. The Consumer Price Index (Urban) is incorporated by reference and is available from the Minitex interlibrary loan system. It is subject to frequent change.
L. For personal care assistant services, the rate shall be the lower of the provider's submitted charge or the maximum rate established by the department. The maximum rates shall be adjusted annually on July 1 to reflect the annual percentage increase reported in the most recent Consumer Price Index (Urban) for the Minneapolis-Saint Paul area as specified in item K.
M. For EPSDT services, the rate shall be the lower of the provider's submitted charge or the 75th percentile of all complete EPSDT screening charges submitted for complete EPSDT screenings during the prior state fiscal year, July 1 to the following June 30. The adjustment necessary to reflect the 75th percentile shall be effective annually on October 1.
N. For pharmacy services, the rates shall be as established in part 9505.0340, subpart 7.
O. For rehabilitation agency services, the rate shall be the lowest of the provider's submitted charges, the provider's individual and customary charge submitted during the calendar year specified in the legislation governing maximum payment rates for providers in item D, or the 50th percentile of the usual and customary fees based upon billings submitted by all providers of the service in the calendar year specified in legislation governing maximum payment rates for providers in item D.
P. For rural health clinic services, reimbursement shall be according to the methodology in Code of Federal Regulations, title 42, section 447.371. If a rural health clinic other than a provider clinic offers ambulatory services other than rural health clinic services, maximum reimbursement for these ambulatory services shall be at the levels specified in this part for similar services. For purposes of this item, "provider clinic" means a clinic as defined in Code of Federal Regulations, title 42, section 447.371(a); "rural health clinic services" means those services listed in Code of Federal Regulations, title 42, section 440.20(b); "ambulatory services furnished by a rural health clinic" means those services listed in Code of Federal Regulations, title 42, section 440.20(c).
Q. For laboratory and x-ray services performed by a physician, independent laboratory, or outpatient hospital, the payment rate shall be the lowest of the provider's submitted charge, the provider's individual customary charge submitted during the calendar year specified in the legislation governing maximum payment rates, the 50th percentile of the usual and customary fees based on billings submitted by all providers of the service in the calendar year specified in legislation, or maximum Medicare fee schedules for outpatient clinical diagnostic laboratory services.
R. For medical transportation services, the rates shall be as specified in subitems (1) to (4).
S. For medical supplies and equipment, the rates shall be the lowest of the provider's submitted charge, the Medicare fee schedule amount for medical supplies and equipment, or the amount determined as appropriate by use of the methodology set forth in this item. If Medicare has not established a reimbursement amount for an item of medical equipment or a medical supply, then the medical assistance payment shall be based upon the 50th percentile of the usual and customary charges submitted to the department for the item or medical supply for the previous calendar year minus 20 percent. For an item of medical equipment or a medical supply for which no information about usual and customary charges exists for a previous calendar year payments shall be based upon the manufacturer's suggested retail price minus 20 percent.
T. For prosthetics and orthotics, the rate shall be the lower of the Medicare fee schedule amount or the provider's submitted charge.
U. For health services for which items A to T do not provide a payment rate, the department may use competitive bidding, negotiate a rate, or establish a payment rate by other means consistent with statutes, federal regulations, and state rules.
History
- Statutory Authority: MS s 256B.04; 256B.0625
- History: 12 SR 624; L 1987 c 209 s 39; 16 SR 2518; L 2005 c 56 s 2; L 2014 c 262 art 5 s 6; L 2014 c 291 art 9 s 5
Minn. R. 9505.0446 Hospice Care Payment Rates and Procedures
Subpart 1. Rate categories.
Providers of hospice care as described in part 9505.0297 are paid at one of four fixed daily rates that apply to each of the four categories of services in subpart 3. The fixed daily rates apply to all services, except for certain physician services as described in subpart 5, and room and board in a long-term care facility as described in subparts 6 and 7.
Subp. 2. Long-term care facility as residence.
For purposes of this part, a recipient who resides in a long-term care facility is considered to live at home.
Subp. 3. Categories of service.
Except as otherwise provided by subparts 4 to 6, no payments shall be made for specific services provided by the hospice. Fixed daily rates are calculated under subpart 4 for each of the following categories of services:
A. Routine home care day, which is a day on which a recipient who has elected to receive hospice care is at home and is not receiving continuous care as defined in item B.
B. Continuous home care day, which is a day on which a recipient who has elected to receive hospice care has not been admitted to a facility that provides inpatient care, except when a long-term care facility is the recipient's residence under subpart 2, and the recipient receives hospice care consisting of nursing services, including home health aide or homemaker services, on a continuous basis at home, as provided by part 9505.0297, subpart 17. No fewer than eight hours a day of nursing care must be provided by a registered nurse or licensed practical nurse. Continuous home care may be furnished only during periods of crisis as described in part 9505.0297, subpart 17, and only as necessary to maintain the terminally ill recipient at home.
C. Inpatient respite care day, which is a day on which the recipient who has elected hospice care receives inpatient care in an inpatient facility certified for medical assistance on a short-term basis for respite. This item is subject to the limits provided by part 9505.0297, subpart 18. This item does not apply to a recipient whose residence is a long-term care facility under subpart 2.
D. General inpatient care day, which is a day on which a recipient who has elected hospice care receives general inpatient care in a hospital or skilled nursing facility that provides inpatient care for control of pain or management of acute or chronic symptoms that cannot be managed in other settings. This item does not apply to a recipient who receives inpatient care in a long-term care facility in which the recipient is a resident under subpart 2.
Subp. 4. Payments and limitations.
Medical assistance will pay a hospice for each day a recipient is under the hospice's care. Payment is in the same amounts, uses the same methodology, and is subject to the same limits and cap amount used by Medicare under Code of Federal Regulations, title 42, sections 418.301 to 418.309, as amended through October 1, 1987, except that the inpatient day limit on both inpatient respite care days and general inpatient care days does not apply to recipients afflicted with acquired immunodeficiency syndrome (AIDS), as provided by United States Code, title 42, section 1396d(o)(1)(B). The rates are determined by the Centers for Medicare and Medicaid Services (CMS), United States Department of Health and Human Services, as provided by Code of Federal Regulations, title 42, section 418.306, as amended through October 1, 1987, and as adjusted by CMS for the Medicare copay amounts not allowed under medical assistance. Payments to long-term care facilities under subparts 6 and 7 are not included in the cap amount. Changes in rates are announced in the Federal Register. No payment will be made for bereavement counseling under part 9505.0297, subpart 19.
Subp. 5. Payment for physician services.
Physician services are paid according to items A to C.
A. The services specified in subitems (1) and (2) are included in the rates provided by subpart 4:
B. Other than for services described in item A, medical assistance shall pay the hospice for physician services furnished by physicians who are employees of the hospice or who provide services under arrangements with the hospice, at the rate provided by part 9505.0445, item E. Payment for these physician services is included in the amount subject to the cap amount in subpart 4. No payment will be made to the hospice for services donated by physicians who are employees of the hospice or who provide services under arrangements with the hospice.
C. Services of the recipient's attending physician, if the physician is not an employee of the hospice or is not providing services under arrangements with the hospice, are not considered hospice services and are not included in the amount subject to the cap amount in subpart 4. These services are reimbursed according to parts 9505.0345 and 9505.0445, item E.
Subp. 6. Payment for room and board in long-term care facilities.
If a recipient resides in a long-term care facility under subpart 2 that is certified as a medical assistance provider and the recipient has elected medical assistance coverage of hospice services, the long-term care facility shall not be paid by medical assistance under parts 9549.0010 to 9549.0080, but shall be paid by the hospice at a rate negotiated by the long-term care facility and the hospice.
Subp. 7. Payment to hospice for residents of long-term care facilities.
The commissioner shall establish the payments to hospices for the room and board of medical assistance recipients who reside in long-term care facilities certified by medical assistance, as provided by items A and B.
A. The daily room and board payment rate shall be either:
B. The payment to the hospice is the product of the hospice's daily room and board payment rate determined in item A and the number of days for which the recipient resides in the long-term care facility in the month, less the recipient's spend down amount for that month under part 9505.0065, subpart 11, item F.
History
- Statutory Authority: MS s 256B.02
- History: 13 SR 1861; L 2002 c 277 s 32
Minn. R. 9505.0450 Billing Procedures; General
Subpart 1. Billing for usual and customary fee.
A provider shall bill the department for the provider's usual and customary fee only after the provider has provided the health service to the recipient.
Subp. 2. Time requirements for claim submission.
Except as in subpart 4, a provider shall submit a claim for payment no later than 12 months after the date of service to the recipient and shall submit a request for an adjustment to a payment no later than six months after the payment date. The department has no obligation to pay a claim or make an adjustment to a payment if the provider does not submit the claim within the required time.
Subp. 3. Retroactive billing.
If the recipient is retroactively eligible for medical assistance and notifies the provider of the retroactive eligibility, the provider may bill the department the provider's usual and customary charge. If the recipient paid any portion of the provider's usual and customary charge during this period, the provider must reimburse the recipient the actual amount paid by the recipient but not more than the amount paid to the provider by medical assistance. Failure of the provider to comply with this part shall not be appealable by the recipient under Minnesota Statutes, section 256.045.
Subp. 4. Exceptions to time requirements.
A provider may submit a claim for payment more than 12 months after the date of service to the recipient if one of the circumstances in items A to D exists. The department shall pay the claim if it satisfies the other requirements of a claim for a covered service.
A. The medical assistance claim was preceded by a claim for payment under Medicare which was filed according to Medicare time limits. To be eligible for payment, the claim must be presented to the department within six months of the Medicare determination.
B. Medical assistance payment of the claim is ordered by the court and a copy of the court order accompanies the claim or an appeal under Minnesota Statutes, section 256.045, is upheld. To be eligible for payment, the claim must be presented within six months of the court order.
C. The provider's claim for payment was rejected because the department received erroneous or incomplete information about the recipient's eligibility. To be eligible for payment, the provider must resubmit the claim to the department within six months of the erroneous determination, together with a copy of the original claim, a copy of the corresponding remittance advice, and any written communication the provider has received from the local agency about the claim. The local agency must verify to the department the recipient's eligibility at the time the recipient received the service.
D. The provider's claim for payment was erroneously rejected by the department. To be eligible for payment, the provider must resubmit the claim within six months of receipt of the notice of the erroneous determination by sending the department a copy of the original claim, a copy of the remittance advice, any written communication about the claim sent to the provider by the local agency or department, and documentation that the original claim was submitted within the 12-month limit in subpart 2.
Subp. 5. Format of claims.
To be eligible for payment, a provider must enter on the claim the diagnosis and procedure codes required by the department and submit the claim on forms or in the format specified by the department. The provider must include with the claim information about a required prior authorization or second surgical opinion. Further, the provider shall submit with the claim additional records or reports requested by the department as necessary to determine compliance with parts 9505.0170 to 9505.0475.
Subp. 6. Repeated submission of nonprocessible claims.
A provider's repeated submission of claims that cannot be processed without obtaining additional information shall constitute abuse and shall be subject to the sanctions available under parts 9505.2160 to 9505.2245.
Subp. 7. Direct billing by provider.
Except as in parts 9505.0070 and 9505.0440, a provider or the provider's business agent as in part 9505.0455 shall directly bill the department for a health service to a recipient.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0455 Billing Procedure; Business Agent
A health service rendered by a provider may be billed by the provider's business agent, if the business agent's compensation is related to the actual cost of processing the billing; is not related on a percentage or other basis to the amount that is billed; and is not dependent upon collection of the payment.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0460 Consequences of a False Claim
A provider who wrongfully obtains a medical assistance payment is subject to Minnesota Statutes, sections 256B.064, 256B.121, 609.466, and 609.52; United States Code, title 42, section 1320a-7b; and parts 9505.2160 to 9505.2245.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0465 Recovery of Payment to Provider
Subpart 1. Department obligations to recover payment.
The department shall recover medical assistance funds paid to a provider if the department determines that the payment was obtained fraudulently or erroneously. Monetary recovery under the medical assistance program is permitted for the following:
A. intentional and unintentional error on the part of the provider or state or local welfare agency;
B. failure of the provider to comply fully with all authorization control requirements, prior authorization procedures, or billing procedures;
C. failure to properly report third-party payments; and
D. fraudulent or abusive actions on the part of the provider.
Subp. 2. Methods of monetary recovery.
The monetary recovery may be made by withholding current payments due the provider, by demanding that the provider refund amounts so received as provided in part 9505.1950, or by any other legally authorized means.
Subp. 3. Interest charges on monetary recovery.
If the department allows the provider to repay medical assistance funds by installment payments, the provider must pay interest on the funds to be recovered. The interest rate shall be the rate established by the Department of Revenue under Minnesota Statutes, section 270C.40.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624; L 2005 c 151 art 1 s 116
Minn. R. 9505.0470 Provider Responsibility for Billing Procedure
For the purposes of parts 9505.0170 to 9505.0475 and 9505.1760 to 9505.2150, a provider is responsible for all medical assistance payment claims submitted to the department for health services furnished by the provider or the provider's designee to a recipient regardless of whether the claim is submitted by the provider or the provider's employee, vendor, or business agent, or an entity who has a contract with the provider.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0475 Suspension of Provider Convicted of Crime Related to Medicare or Medicaid
Subpart 1. Crime related to Medicare.
A provider convicted of a crime related to the provision, management, or administration of health services under Medicare is suspended from participation under the medical assistance program. The effective date of the suspension is the date established by the Department of Health and Human Services; the period of suspension is the period established by the Department of Health and Human Services.
Subp. 2. Crime related to medical assistance.
A provider convicted of a crime related to the provision, management, or administration of health services under medical assistance is suspended from participation under the medical assistance program. The effective date of suspension is the date of conviction. The period of suspension is the period of any sentence imposed by the sentencing court, even if the sentence is suspended or the provider is placed on probation. A provider is provisionally suspended upon conviction and pending sentencing.
Subp. 3. Definition of "convicted."
"Convicted" for purposes of this part means that a judgment of conviction has been entered by a federal, state, or local court, regardless of whether an appeal from the judgment is pending, and includes a plea of guilty or nolo contendere.
Subp. 4. Suspension after conviction of person with ownership interest.
This part also applies to and results in the suspension of any provider when a person who has an ownership or control interest in the provider, as defined and determined by Code of Federal Regulations, title 42, sections 455.101 and 455.102, is convicted of a crime related to medical assistance. A provider suspended under this subpart may seek reinstatement at the time the convicted person ceases to have any ownership or control interest in the provider.
Subp. 5. Notice of suspension.
The commissioner shall notify a provider in writing of suspension under this part. The notice shall state the reasons for the suspension, the effective date and duration of the suspension, and the provider's right to appeal the suspension.
Subp. 6. Right to appeal.
A provider suspended under this part may file an appeal pursuant to Minnesota Statutes, section 256B.064, and part 9505.2150. The appeal shall be heard by an administrative law judge according to Minnesota Statutes, sections 14.48 to 14.56. Unless otherwise decided by the commissioner, the suspension remains in effect pending the appeal.
History
- Statutory Authority: MS s 256B.04
- History: 12 SR 624
Minn. R. 9505.0476 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0477 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0478 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0479 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0480 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0481 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0482 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0483 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0484 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0485 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0486 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0487 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0488 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0489 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0490 [Repealed, 17 SR 1448; 17 SR 1454]
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0491 Repealed by subpart
Subpart 1.
[Repealed, 17 SR 1448; 17 SR 1454]
Subp. 2.
[Repealed, 17 SR 1448; 17 SR 1454]
Subp. 3.
[Repealed, 17 SR 1448; 17 SR 1454]
Subp. 4.
[Repealed, 17 SR 1448; 17 SR 1454]
Subp. 5.
[Repealed, 17 SR 1448; 17 SR 1454]
Subp. 6.
[Repealed, 17 SR 1448; 17 SR 1454]
Subp. 7.
[Repealed, 30 SR 1318]
Subp. 8.
[Repealed, 30 SR 1318]
Subp. 9.
[Repealed, 17 SR 1448; 17 SR 1454]
Subp. 10.
[Repealed, 17 SR 1448; 17 SR 1454]
Minn. R. 9505.0500 [Repealed, 23 SR 298]
[Repealed, 23 SR 298]
Minn. R. 9505.0501 Scope
Parts 9505.0501 to 9505.0545 establish the standards and procedures for admission certification to be followed by admitting physicians and hospitals seeking payment under parts 9500.1090 to 9500.1140 for inpatient hospital services provided to medical assistance, general assistance medical care, and MinnesotaCare recipients under Minnesota Statutes, chapters 256B and 256D, and section 256L.03, subdivision 3, paragraph (b). Parts 9505.0501 to 9505.0545 are to be read in conjunction with Code of Federal Regulations, title 42, and titles XVIII and XIX of the Social Security Act, United States Code, title 42, chapter 7, subchapters XVIII and XIX. The department retains the authority to approve prior authorizations established under parts 9505.5000 to 9505.5030 and second medical opinions established under parts 9505.5035 to 9505.5105 in addition to admission certification.
History
- Statutory Authority: MS s 256.9353; 256B.04; 256D.03
- History: 23 SR 298
Minn. R. 9505.0505 Definitions
Subpart 1. Scope.
As used in parts 9505.0501 to 9505.0545, the following terms have the meanings given them.
Subp. 2. Admission.
"Admission" means the time of birth at a hospital or the act that allows the recipient to officially enter a hospital to receive inpatient hospital services under the supervision of a physician who is a member of the medical staff.
Subp. 3. Admission certification.
"Admission certification" means the determination of the medical review agent that all or part of a recipient's inpatient hospital services are medically necessary and that medical assistance, general assistance medical care, or MinnesotaCare funds may be used to pay the admitting physician, hospital, and other vendors of inpatient hospital services for providing medically necessary services, subject to parts 9500.1090 to 9500.1140; 9505.0170 to 9505.0475; 9505.1000 to 9505.1040; and 9505.5000 to 9505.5105.
Subp. 4. Admitting physician.
"Admitting physician" means the physician who orders the recipient's admission to the hospital.
Subp. 5. Certification number.
"Certification number" means the number issued by the medical review agent that establishes that all or part of a recipient's inpatient hospital services are medically necessary.
Subp. 6. Commissioner.
"Commissioner" means the commissioner of human services or an authorized representative of the commissioner.
Subp. 7. Concurrent review.
"Concurrent review" means a review and determination performed while the recipient is in the hospital and focused on the medical necessity of inpatient hospital services. The review consists of admission review, continued stay review, and, when appropriate, procedure review.
Subp. 8. Continued stay review.
"Continued stay review" means a review and determination, after the admission certification, of the medical necessity of continued inpatient hospital services to the recipient.
Subp. 9. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 10. Diagnostic categories.
"Diagnostic categories" means the diagnostic classifications established under Minnesota Statutes, section 256.969, subdivision 2.
Subp. 11. Diagnostic category validation.
"Diagnostic category validation" means the process of comparing the medical record to the information submitted on the inpatient hospital billing form to ascertain the accuracy of the information upon which the diagnostic category was assigned.
Subp. 12. Emergency.
"Emergency" has the meaning given in part 9505.0175, subpart 11.
Subp. 13. General assistance medical care or GAMC.
"General assistance medical care" or "GAMC" means the program established by Minnesota Statutes, section 256D.03.
Subp. 14. Hospital.
"Hospital" means a facility defined in Minnesota Statutes, section 144.696, subdivision 3, and licensed under Minnesota Statutes, sections 144.50 to 144.58, or an out-of-state facility licensed to provide acute care under the requirements of the state in which it is located or an Indian health service facility designated by the federal government to provide acute care.
Subp. 15. Inpatient hospital service.
"Inpatient hospital service" means a service provided by or under the supervision of a physician after admission to a hospital and furnished in the hospital, including outpatient services provided by the same hospital that immediately precede the admission.
Subp. 16. Medical assistance or MA.
"Medical assistance" or "MA" means the program established under title XIX of the Social Security Act, United States Code, title 42, chapter 7, subchapter XIX, and Minnesota Statutes, chapter 256B. For purposes of parts 9505.0501 to 9505.0545, "medical assistance" includes general assistance medical care and MinnesotaCare unless otherwise specified.
Subp. 17. Medical record.
"Medical record" means the information required in part 9505.2175, subpart 2.
Subp. 18.
[Repealed, L 2023 c 70 art 17 s 63]
Subp. 19. Medically necessary.
"Medically necessary" means an inpatient hospital service that is consistent with the recipient's diagnosis or condition, and under the criteria in part 9505.0530 cannot be provided on an outpatient or other basis.
Subp. 20. Medicare.
"Medicare" means the federal health insurance program for the aged and disabled under title XVIII of the Social Security Act, United States Code, title 42, chapter 7, subchapter XVIII.
Subp. 21. MinnesotaCare.
"MinnesotaCare" means the program established in Minnesota Statutes, section 256L.02.
Subp. 22. Physician.
"Physician" means a person licensed to provide services within the scope of the profession as defined in Minnesota Statutes, chapter 147.
Subp. 23. Physician adviser.
"Physician adviser" means a physician who practices in the specialty area of the recipient's admitting or principal diagnosis or a specialty area related to the admitting or principal diagnosis.
Subp. 24. Prior authorization.
"Prior authorization" means the prior approval for medical services by the department as required under Minnesota Statutes, sections 256.9353, subdivisions 1 and 3, and 256B.0625, subdivision 25, and applicable rules adopted by the commissioner.
Subp. 25. Principal diagnosis.
"Principal diagnosis" means the condition established, after study, as the reason for the admission of the recipient to the hospital for inpatient hospital services.
Subp. 26. Principal procedure.
"Principal procedure" means a procedure performed for definitive treatment of the recipient's principal diagnosis rather than one performed for diagnostic or exploratory purposes or a procedure necessary to take care of a complication. When multiple procedures are performed for definitive treatment, the principal procedure is the procedure most closely related to the principal diagnosis.
Subp. 27. Provider.
"Provider" means an individual or organization under an agreement with the department to furnish health services to persons eligible for the medical assistance, MinnesotaCare, or general assistance medical care programs.
Subp. 28. Provider number.
"Provider number" means a number issued by the department to a provider who has signed a provider agreement under part 9505.0195.
Subp. 29. Readmission.
"Readmission" means an admission that occurs within 15 days of a discharge of the same recipient. The 15-day period does not include the day of discharge or the day of readmission.
Subp. 30. Recertification.
"Recertification" means the procedure by which a physician, or physician assistant or nurse practitioner acting within the scope of practice as defined by state law and under supervision of a physician, authorizes a recipient's continued need for inpatient hospital services as required by federal regulations. An admission must be recertified for every 60 days of continuous hospitalization of a recipient beginning from the date of the admission and must be documented in the medical record. Recertification does not apply to general assistance medical care or MinnesotaCare recipients.
Subp. 31. Recipient.
"Recipient" means a person who is eligible for the medical assistance, general assistance medical care, or MinnesotaCare program.
Subp. 32. Recipient ID number.
"Recipient ID number" means the unique eight digit identification number assigned to a recipient who has been determined eligible for medical assistance, general assistance medical care, or MinnesotaCare.
Subp. 33. Reconsideration.
"Reconsideration" means a review of a denial or withdrawal of admission certification according to part 9505.0520, subparts 9, 9b, and 9c.
Subp. 34. Retrospective review.
"Retrospective review" means a review conducted after inpatient hospital services are provided to a recipient. The review is focused on validating the diagnostic category, verifying recertification, where applicable, and determining the medical necessity of the admission, the medical necessity of any inpatient hospital services provided, and whether all medically necessary inpatient hospital services were provided.
Subp. 35. Transfer.
"Transfer" means the movement of a patient after admission from one hospital directly to another hospital or to or from a unit of a hospital recognized as a rehabilitation distinct part by Medicare as provided by Minnesota Statutes, section 256.969, subdivision 12.
History
- Statutory Authority: MS s 256.9353; 256B.04; 256D.03
- History: 23 SR 298
Minn. R. 9505.0510 [Repealed, 23 SR 298]
[Repealed, 23 SR 298]
Minn. R. 9505.0515 Medical Review Agent's Qualified Staff
The medical review agent must provide professional and technical expertise to conduct the hospital admission certification program for medical assistance, general assistance medical care, and the MinnesotaCare programs. Unless otherwise specified in parts 9505.0501 to 9505.0545, the professional and technical expertise must consist of persons who are licensed physicians or who are registered nurses licensed under Minnesota Statutes, sections 148.171 to 148.285, to practice professional nursing and who are qualified by training and experience to review the medical necessity of admissions.
History
- Statutory Authority: MS s 256.9353; 256B.04; 256D.03
- History: 23 SR 298
Minn. R. 9505.0520 Inpatient Admission Certification
Subpart 1. Requirement for admission certification.
Except as provided in subpart 2, a hospital or admitting physician furnishing inpatient hospital services to a recipient must obtain admission certification in order for the admitting physician, the hospital, or other provider of an inpatient hospital service to receive medical assistance payment for the inpatient hospital services to the recipient.
A. Admission certification must be obtained when a recipient is admitted, readmitted, or transferred to a hospital unless the admission is combined under the readmission criteria of part 9505.0540.
B. An admission certification number is valid only for the hospital admission for which it is issued, except in circumstances specified in part 9505.0540.
C. Admission certification for the admission of a MinnesotaCare recipient must be requested within 30 days of the date of admission or be subject to penalties under Minnesota Statutes, section 256L.03, subdivision 3, paragraph (b).
Subp. 2. Exclusions from admission certification.
Admissions for inpatient hospital services under items A to C shall be excluded from the requirement in subpart 1. The admissions are subject to retrospective review as stated in subpart 10.
A. The admission of a pregnant woman that results in the delivery of a newborn or a stillbirth, and the admission of a newborn resulting from birth.
B. The admission is for Medicare Part A covered inpatient hospital services which are provided to a recipient who is also eligible for medical assistance and for which medical assistance payment is requested for the coinsurance and deductible payments only.
C. An admission to a hospital that is not located in Minnesota or the local trade area for which a prior authorization has been obtained according to parts 9505.5000 to 9505.5030.
Subp. 3. Admitting physician and hospital responsibilities.
The admitting physician or hospital that seeks medical assistance payment for inpatient hospital services provided to a recipient must follow the procedures in items A to C.
A. Request admission certification by contacting the medical review agent either by telephone or in writing and providing the information in subitems (1) to (8):
B. Inform all providers involved in the recipient's inpatient hospital services of the certification number.
C. For purposes of billing, enter the certification number on invoices submitted to the department for payment.
Subp. 4.
[Repealed, 23 SR 298]
Subp. 5.
[Repealed, 23 SR 298]
Subp. 6.
[Repealed, 23 SR 298]
Subp. 7. Ineligibility to serve as physician or physician adviser.
A physician shall not be eligible to determine the medical necessity of an admission under parts 9505.0501 to 9505.0545 if:
A. the physician is the admitting physician for the admission for which certification is being requested;
B. during the previous 12 months, the physician issued treatment orders or participated in the formulation or execution of the treatment plan for the recipient for whom admission certification is requested;
C. the physician and the physician's family, which means the physician's spouse, child, grandchild, parent, or grandparent, has an ownership interest of five percent or more in the hospital for which admission certification is being requested; or
D. the physician can obtain a financial benefit from the admission of the recipient.
Subp. 8. Procedure for admission certification.
The procedures for admission certification are listed in items A to I.
A. Upon receipt of the information requested in subpart 3, item A, the medical review agent shall review the information and determine whether the admission is medically necessary.
B. If the medical review agent determines that the admission is medically necessary, the medical review agent shall issue a certification number.
C. If the medical review agent is unable to determine that the admission is medically necessary, the medical review agent shall contact a physician.
D. If the physician determines that the admission is medically necessary, the medical review agent shall issue a certification number.
E. If the physician determines that the admission is not medically necessary or is unable to determine that the admission is medically necessary, the medical review agent shall notify the provider by telephone, and the provider may request within 24 hours of the medical review agent's notification, exclusive of weekends and holidays, a second physician's opinion.
F. If the provider requests a second physician's opinion, the medical review agent shall contact a second physician. If the second physician determines that the admission is medically necessary, the medical review agent shall issue a certification number.
G. If the second physician determines that the admission is not medically necessary, or is unable to determine that the admission is medically necessary, or if the provider does not request a second physician's opinion when the first physician determines that the admission is not medically necessary or is unable to determine that the admission is medically necessary, then the medical review agent shall deny the admission certification and shall not issue a certification number.
H. The medical review agent shall make the determination about medical necessity and inform the provider by telephone within 24 hours of the receipt of the information requested in subpart 3, item A, exclusive of weekends and holidays, unless the provider requests a second physician's opinion. If the provider requests a second physician's opinion, the medical review agent shall make the determination of medical necessity and notify the provider by telephone within 24 hours of the request, exclusive of weekends and holidays. The medical review agent shall send a written notice of the determination to the hospital and admitting physician within five working days of the determination. In the case of a denial, the written notices to the hospital and the admitting physician required under this item must be sent by certified mail. The denial notices to the admitting physician and hospital must state the reasons for the denial and inform the admitting physician or hospital that a reconsideration may be requested under subpart 9. In the case of a denial when the recipient has not received the inpatient hospital services, the medical review agent shall send a written notice of the denial to the recipient within five working days of the determination. The denial notice to the recipient must state the recipient's right of appeal under part 9505.0545 and Minnesota Statutes, section 256.045.
I. When there is a need to further substantiate the medical necessity of the admission, the department or medical review agent may request that the provider submit, at the provider's expense, a copy of the recipient's medical record or part of the medical record needed to make the determination. If the provider fails to submit a requested record within 30 days of the date of the request, the department or the medical review agent shall make a determination based on the information available.
Subp. 9. Reconsideration requested.
The admitting physician or the hospital may request reconsideration of a decision to deny or withdraw an admission certification if:
A. the medical review agent denies an admission certification number because the admission is not medically necessary;
B. the medical review agent withdraws an admission certification number for all or part of a recipient's stay because all or part of the stay was not medically necessary based on a concurrent or retrospective review; or
C. the medical review agent denies or withdraws an admission certification number or considers an admission and readmission to be a transfer under the readmission criteria in part 9505.0540 because the admission and readmission meet the criteria specified in part 9505.0540. The admitting physician or the hospital shall submit a written request for reconsideration to the medical review agent within 30 days of the date of receipt of the certified letter from the medical review agent denying or withdrawing the admission certification number. The request must include the recipient's name and the recipient's ID number; the disputed admission; the reason for the dispute; the medical record or the part of the medical record needed to make a determination of the medical necessity of the admission or appropriateness of a readmission and any other information related to the admission and determination; and the name, address, and telephone number of the person to contact about the reconsideration.
Subp. 9a.
[Repealed, 23 SR 298]
Subp. 9b.
[Repealed, L 2023 c 70 art 17 s 63]
Subp. 9c. Completion of reconsideration.
The medical review agent shall complete the reconsideration requested under subpart 9 within 60 days of receipt of the information required under subpart 9. The medical review agent shall notify the provider who requested the reconsideration, by telephone, of the decision within 24 hours of receipt of the physician adviser's determination, exclusive of weekends and holidays. A written notice of the decision must be sent by certified mail to the hospital and the admitting physician by the medical review agent within ten working days of the receipt of the physician adviser's determination. In the event a denial is upheld, the notice must inform the admitting physician and hospital of the right to request an appeal of the reconsideration decision within 30 days of receiving the notice according to Minnesota Statutes, section 256.9685, subdivisions 1b to 1d.
Subp. 10. Medical record review and determination after admission.
The department or the medical review agent may conduct a concurrent, continued stay or retrospective review of a recipient's medical record to establish the recipient's diagnosis and procedure codes and to determine whether the recipient's admission and all the inpatient hospital services provided to the recipient were medically necessary, whether a continued stay was medically necessary or will be medically necessary, and whether all medically necessary inpatient hospital services were provided to the recipient. In making a determination under this subpart, the medical review agent must follow the procedure in items A to G.
A. The medical review agent shall review the medical record to establish the diagnosis and procedure codes for diagnostic category validation. Additionally, the medical review agent may review the bills, invoices, and all supporting documentation pertaining to a request for medical assistance payment.
B. The medical review agent may request additional information from the admitting physician or the hospital as necessary to clarify the medical record if the medical review agent is unable to determine that the recipient's admission was medically necessary, that all inpatient hospital services provided to the recipient were medically necessary, that the recipient's continued stay was medically necessary or will be medically necessary, or that all medically necessary inpatient hospital services were provided. The additional information must be submitted at the expense of the admitting physician or hospital.
C. If, after additional information is submitted, the medical review agent is unable to determine that the recipient's admission was medically necessary, that the recipient's continued stay was medically necessary or will be medically necessary, or that all medically necessary inpatient hospital services were provided, the medical review agent must consult a physician.
D. If a physician determines that the recipient's admission was not medically necessary, or that all medically necessary inpatient hospital services were not provided, the medical review agent shall withdraw the previously issued certification number and shall notify the admitting physician and hospital of the determination by certified letter mailed within five working days. The notice shall state the right of the admitting physician and hospital to request a reconsideration under subpart 9.
E. If a physician determines that the recipient's continued stay was not medically necessary or will not be medically necessary, the portion of the stay determined not to be medically necessary will be denied. If the recipient is still an inpatient, the medical review agent shall notify the admitting physician and hospital of the determination by telephone within 24 hours of receipt of the determination, exclusive of weekends and holidays, and by certified letter mailed within five working days of receipt of the determination. If the recipient has been discharged, the medical review agent shall notify the admitting physician and hospital of the determination by certified letter mailed within five working days of receipt of the determination. The notice must state the right of the admitting physician and hospital to request a reconsideration under subpart 9.
F. If recertification of a recipient's need for inpatient hospital services was required but was not documented in the medical record, the medical review agent shall deny that portion of the admission that was not recertified.
G. If the medical review agent is unable to determine from the documentation in the recipient's medical records the reasons for the recipient's discharge and readmission according to criteria in part 9505.0540, the medical review agent shall submit the medical records of the recipient's admission and readmission to a physician. The physician shall review the records and determine the nature of the discharge and readmission according to the criteria in part 9505.0540, and if the determination of the medical review agent is different from that of the admitting physician or hospital, then the medical review agent shall notify the admitting physician and hospital by certified letter mailed within five working days. The notice must state the right of the admitting physician and hospital to request a reconsideration under subpart 9.
Subp. 11. Payment adjustments.
The department may make payment adjustments according to the circumstances in items A to E.
A. For hospitals receiving payments under parts 9500.1090 to 9500.1140, and admitting physicians and other providers of inpatient hospital services receiving payments through medical assistance, if the admission was not medically necessary or the medical record does not adequately document that the admission was medically necessary, the entire payment shall be denied or recovered. If the hospital, admitting physician, and other providers of inpatient hospital services failed to provide inpatient hospital services that were medically necessary, the department may take action under parts 9505.2160 to 9505.2245.
B. For hospitals receiving payments under parts 9500.1090 to 9500.1140, and admitting physicians and other providers of inpatient hospital services receiving payments through medical assistance, if the admission was medically necessary but some or all of the additional inpatient hospital services were not or will not be medically necessary, or the medical record does not adequately document that the additional inpatient hospital services were or will be medically necessary, payment for the additional services shall be denied or recovered. If the hospital, admitting physician, and other providers of inpatient hospital services failed to provide inpatient hospital services that were medically necessary, the department may take action under parts 9505.2160 to 9505.2245.
C. If the diagnostic category validation indicates a discrepancy between the diagnostic category assigned to the claim and the diagnostic category established from the medical record, the department shall adjust the payment as applicable to the diagnostic category that is accurate for the recipient's condition according to the medical record.
D. If, within 30 days, the hospital failed to comply with the department's or the medical review agent's request to submit the medical record or other required information, all or part of the payment shall be denied or recovered as provided in items A to C.
E. The provider may not seek payment from the recipient for inpatient hospital services provided under parts 9505.0501 to 9505.0545 if the certification number is not issued or is withdrawn.
Subp. 12.
[Repealed, 23 SR 298]
Subp. 13.
[Repealed, 23 SR 298]
Subp. 14.
[Repealed, 23 SR 298]
Subp. 15.
[Repealed, 23 SR 298]
History
- Statutory Authority: MS s 256.0625; 256.9353; 256.991; 256B.04; 256B.503; 256D.03
- History: 9 SR 2296; 11 SR 1687; 13 SR 1688; 20 SR 2405; 23 SR 298
Minn. R. 9505.0521 [Repealed, 23 SR 298]
[Repealed, 23 SR 298]
Minn. R. 9505.0522 [Repealed, 23 SR 298]
[Repealed, 23 SR 298]
Minn. R. 9505.0530 Incorporation by Reference of Criteria to Determine Medical Necessity
Subpart 1. Determinations using medical necessity criteria.
The medical review agent shall follow the medical necessity criteria specified in subparts 2 and 3 in determining the following:
A. whether a recipient's admission is medically necessary;
B. whether the inpatient hospital services provided to the recipient were medically necessary;
C. whether the recipient's continued stay was or will be medically necessary; and
D. whether all medically necessary inpatient hospital services were provided to the recipient.
Subp. 2. Criteria for inpatient hospital admission; general.
The most recent edition of the Appropriateness Evaluation Protocol of the National Institutes of Health is incorporated by reference. The book was published in 1984 by the Health Data Institute, 20 Maguire Road, Lexington, Massachusetts, 02173, and it is available through the Minitex interlibrary loan system. The book is not subject to change.
Subp. 3. Criteria for inpatient psychiatric treatment.
The Criteria for Inpatient Psychiatric Treatment, 1981 edition, revised 1991, published by Blue Cross and Blue Shield of Minnesota are incorporated by reference. The criteria are available at Blue Cross and Blue Shield of Minnesota, P.O. Box 64560, Saint Paul, Minnesota 55164, and at the State Law Library, Minnesota Judicial Center, 25 Rev. Dr. Martin Luther King Jr. Blvd., Saint Paul, Minnesota 55155. The criteria are not subject to frequent change.
History
- Statutory Authority: MS s 256.9353; 256B.04; 256B.503; 256D.03
- History: 9 SR 2296; 11 SR 1687; 13 SR 1688; 23 SR 298
Minn. R. 9505.0540 Criteria for Readmissions
Subpart 1.
[Repealed, 23 SR 298]
Subp. 2.
[Repealed, 23 SR 298]
Subp. 3. Readmission considered as a second admission.
The medical review agent shall issue a certification number for a readmission that meets the criteria for medical necessity specified in part 9505.0530, whether the admitting and readmitting hospitals are the same or different. The medical record of the admission must state why the recipient was discharged from the hospital and what the recipient's medical status was upon discharge, and the medical record of the readmission must state why the recipient is being readmitted and what the recipient's medical status is at readmission. Both the admission and the readmission shall be subject to a retrospective review as provided in part 9505.0520, subpart 10. If the reason for the discharge and the reason for the readmission meet one set of circumstances specified in items A to D, the medical review agent shall determine that both the admission and the readmission shall retain the certification number subject to the hospitals' and admitting physicians' compliance with all requirements of parts 9505.0501 to 9505.0545.
A. The readmission results from the recipient leaving the hospital against medical advice.
B. The readmission results from the recipient being noncompliant with medical advice that is recorded on the recipient's medical record as being given to the recipient at the admitting hospital. For purposes of this part, "recipient being noncompliant with medical advice" means that the recipient, fully informed of his or her medical condition, and fully understanding the need for the treatment and the follow-up discharge instructions, if any, refuses to adhere to the treatment or to follow the discharge instructions.
C. The readmission results from a new episode of the same diagnosis of an episodic illness or condition.
D. The readmission results from the fact that the recipient's discharge from the admitting hospital and readmission are medically necessary according to prevailing medical standards, practice, and usage.
Subp. 4. Readmission considered as continuous with admission.
The medical review agent shall determine that a readmission of a recipient is continuous with the recipient's admission whether the admitting and readmitting hospitals are the same or different if the circumstances requiring the recipient's readmission meet one set of the circumstances specified in items A to C. The medical review agent shall issue a certification number if the readmission meets the criteria for medical necessity specified in part 9505.0530. The medical record of the admission must state why the recipient was discharged from the hospital and what the recipient's medical status was upon discharge, and the medical record of the readmission must state why the recipient is being readmitted and what the recipient's medical status is at readmission. Both the admission and the readmission are subject to a retrospective review as provided in part 9505.0520, subpart 10. Upon completing the retrospective review and determining whether the readmission and admission are consistent with item A, B, or C, the medical review agent shall take the action specified in the item that applies. Medical assistance payment for the inpatient hospital services retaining the certification number after the determination resulting from the retrospective review must be paid according to parts 9500.1090 to 9500.1140 for the diagnostic category assigned to the recipient's principal diagnosis of the admission and readmission. In each circumstance, retention of the certification number is subject to the hospital's and admitting physician's compliance with all requirements of parts 9505.0501 to 9505.0545.
A. The recipient was discharged from the admitting hospital without receiving the procedure or treatment of the condition diagnosed during the admission because of the hospital's or physician's preference or because of a scheduling conflict. If the admitting and readmitting hospitals are the same, the medical review agent shall withdraw the certification number of the readmission and determine the admission eligible to retain the certification number. If the admitting and readmitting hospitals are not the same, the medical review agent shall apply the requirements under subpart 5, item C, regarding admission and readmission eligible for a transfer payment.
B. The recipient's discharge was not appropriate according to prevailing medical standards, practice, and usage. If the admitting and readmitting hospitals are the same, the medical review agent shall determine the admission eligible to retain the certification number and withdraw the certification number of the readmission. If the admitting and readmitting hospitals are different, the medical review agent shall withdraw the certification number of the admission and shall determine the readmission eligible to retain a certification number.
C. The recipient's discharge and readmission to the same hospital results from the preference of the recipient or the recipient's family that the recipient's treatment be delayed, that the recipient be discharged without receiving the necessary procedure or treatment, and that the recipient be readmitted for the necessary procedure or treatment. If the admitting and readmitting hospitals are the same, the medical review agent shall determine the admission eligible to retain the certification number and withdraw the certification number of the readmission. If the admitting and readmitting hospitals are not the same, the medical review agent shall apply the requirements under subpart 5, item A, regarding admission and readmission eligible for a transfer payment. For purposes of this part, "preference of the recipient or the recipient's family" means that the recipient or the recipient's family makes a choice to delay or change the location of inpatient hospital services, and the choice is compatible with prevailing medical standards, practices, and usage.
Subp. 5. Admission and readmission eligible for transfer payment.
The medical review agent shall issue a certification number for an admission and readmission that are eligible for a transfer payment if the admission and readmission meet the criteria for medical necessity specified in part 9505.0530, and a set of circumstances in item A, B, or C. The medical record of the admission must state why the recipient was discharged from the hospital and what the recipient's medical status was upon discharge, and the medical record of the readmission must state why the recipient is being readmitted and what the recipient's medical status is at readmission. The medical review agent shall conduct a retrospective review of the medical records, determine whether the admission and readmission are consistent with the circumstances in item A, B, or C, and take the action specified in the item. Retention of the certification number by the hospital is also subject to the admitting physician's and hospital's compliance with all requirements of parts 9505.0501 to 9505.0545.
A. The readmission results from the preference of the recipient or the recipient's family that the recipient be discharged from the admitting hospital without receiving the necessary procedure or treatment and that the recipient be readmitted to a different hospital to obtain the necessary procedure or treatment. In this case, both hospitals shall retain their certification numbers subject to the hospitals' and admitting physicians' compliance with all requirements of parts 9505.0501 to 9505.0545, and medical assistance payment to each hospital must be made according to the transfer payment established under part 9500.1128, subpart 2, item D, for the inpatient hospital services necessary for the recipient's diagnosis and treatment.
B. The readmission results from a referral from one hospital to a different hospital because the recipient's medically necessary treatment was outside the scope of the first hospital's available inpatient hospital services. In this case, both hospitals shall retain their certification numbers, and medical assistance payment to each hospital must be made according to the transfer payment established under part 9500.1128, subpart 2, item D, for the inpatient hospital services necessary for the recipient's diagnosis and treatment. If, however, the admission to the first hospital is not due to an emergency and the first hospital knew or had reason to know at the time of admission that the inpatient hospital services that were medically necessary for the recipient's treatment or condition were outside the scope of the hospital's available inpatient hospital services and the readmission to another hospital resulted because of the recipient's need for those services, the first hospital's certification number will be withdrawn.
C. The readmission results from a physician's or hospital's scheduling conflict at the admitting hospital. The medical review agent shall determine both hospitals eligible to retain their certification numbers. In this case, medical assistance payment to each hospital shall be made according to the transfer payment established under part 9500.1128, subpart 2, item D, for the inpatient hospital services necessary for the recipient's diagnosis and treatment.
Subp. 6.
[Repealed, 23 SR 298]
History
- Statutory Authority: MS s 256.0625; 256.9353; 256.991; 256B.04; 256B.503; 256D.03
- History: 9 SR 2296; 11 SR 1687; 13 SR 1688; 18 SR 1115; 20 SR 2405; 23 SR 298
Minn. R. 9505.0545 Appeals
Subpart 1. Appeal by admitting physician or hospital.
The admitting physician or hospital may appeal the determination of the reconsideration under part 9505.0520, subparts 9, 9b, and 9c, according to Minnesota Statutes, section 256.9685, subdivisions 1b to 1d. The request for the appeal must be in writing and must be submitted to the commissioner within 30 days after receiving notice that the denial was upheld. An admitting physician or hospital that did not request a reconsideration under subpart 9 within 30 days of receiving the certified letter denying or withdrawing admission certification is not entitled to further appeal. The commissioner shall determine the medical necessity of the hospital admission based upon a review of the recipient's medical record and the information submitted by the provider during the reconsideration process and the medical review agent's basis for the determination that the services were not medically necessary for inpatient hospital services. The commissioner's decision under this subpart is the final agency decision.
Subp. 2. Judicial review.
If the commissioner upholds the denial or withdrawal of admission certification, a hospital or admitting physician may appeal the commissioner's order to the district court of the county in which the hospital or physician is located. The appeal must be in writing and served upon the commissioner within 30 days after the date of the commissioner's order denying or withdrawing admission certification. The appeal must also be filed with the court administrator of the district court. The procedures to be followed by the court in processing the appeal are set out in Minnesota Statutes, section 256.9685, subdivisions 1c and 1d.
Subp. 3. Appeal by recipient.
A recipient who is denied inpatient hospital services because of the medical review agent's determination that the inpatient hospital services are not medically necessary may appeal the medical review agent's determination according to Minnesota Statutes, section 256.045.
History
- Statutory Authority: MS s 256.9353; 256B.04; 256D.03
- History: 23 SR 298
Minn. R. 9505.1000 [Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
[Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
Minn. R. 9505.1010 [Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
[Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
Minn. R. 9505.1020 [Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
[Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
Minn. R. 9505.1030 [Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
[Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
Minn. R. 9505.1040 [Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
[Repealed, L 1997 c 203 art 4 s 73; L 1997 c 225 art 8 s 5]
Minn. R. 9505.1100 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1110 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1120 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1130 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1140 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1150 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1160 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1170 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1180 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1190 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1200 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1210 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1220 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1230 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1240 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1250 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1260 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1270 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1280 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1290 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1300 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1310 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1320 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1330 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1340 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1350 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1360 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1370 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1380 MR 1995 [Repealed, 22 SR 340]
MR 1995 [Repealed, 22 SR 340]
Minn. R. 9505.1500 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1510 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1520 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1530 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1540 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1550 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1560 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1570 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1580 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1590 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1600 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1610 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1620 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1630 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1640 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1650 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1660 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1670 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1680 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1690 [Repealed, 13 SR 1150]
[Repealed, 13 SR 1150]
Minn. R. 9505.1693 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1696 Repealed by subpart
Subpart 1.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 2.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 3.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 4.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 5.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 6.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 7.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 8.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 9.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 10.
[Repealed, L 2015 c 78 art 5 s 5]
Subp. 11.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 12.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 13.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 14.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 15.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 16.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 17.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 18.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 19.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 20.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 21.
[Repealed, L 2021 1Sp7 art 1 s 40]
Subp. 22.
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1699 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1701 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1703 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1706 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1709 [Repealed, L 2015 c 78 art 5 s 5]
[Repealed, L 2015 c 78 art 5 s 5]
Minn. R. 9505.1712 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1715 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1718 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1724 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1727 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1730 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1733 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1736 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1739 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1742 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1745 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1748 [Repealed, L 2021 1Sp7 art 1 s 40]
[Repealed, L 2021 1Sp7 art 1 s 40]
Minn. R. 9505.1750 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1760 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1770 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1780 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1790 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1800 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1810 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1820 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1830 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1840 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1850 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1860 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1870 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1880 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1890 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1900 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1910 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1920 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1930 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1940 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1950 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1960 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1970 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1980 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.1990 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2000 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2010 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2020 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2030 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2040 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2050 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2060 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2070 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2080 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2090 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2100 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2110 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2120 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2130 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2140 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2150 [Repealed, 15 SR 2563]
[Repealed, 15 SR 2563]
Minn. R. 9505.2160 Scope and Applicability
Subpart 1. Scope.
Parts 9505.2160 to 9505.2245 govern procedures to be used by the department in identifying and investigating fraud, theft, abuse, or error by vendors or recipients of health services through a program as defined in part 9505.2165, subpart 8, that is administered by the department, and for the imposition of sanctions against vendors and recipients of health services. Additionally, parts 9505.2160 to 9505.2245 establish standards applicable to the health service and financial records of vendors of health services through a program.
Parts 9505.2160 to 9505.2245 must be read in conjunction with titles XVIII and XIX of the Social Security Act; Code of Federal Regulations, title 42; Minnesota Statutes, chapters 62E, 145, 152, 245, 245A, 252, 253, 254A, 254B, 256, 256B, 256D, 256L, and 609.
Subp. 2. Applicability.
Parts 9505.2160 to 9505.2245 apply to local agencies, vendors participating in a program, and recipients of health services through a program. To the extent that provisions of a contract between the department and prepaid health plans have functionally equivalent requirements, the department shall exempt the prepaid health plans from the specific requirements of parts 9505.2160 to 9505.2245.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563, 19 SR 1898; L 2002 c 277 s 32; L 2003 1Sp14 art 11 s 11; 33 SR 127
Minn. R. 9505.2165 Definitions
Subpart 1. Scope.
The terms in parts 9505.2160 to 9505.2245 shall have the meanings given them in this part and in part 9505.0175, the medical assistance definitions.
Subp. 2. Abuse.
"Abuse" means:
A. in the case of a vendor, a pattern of practices that are inconsistent with sound fiscal, business, or health service practices, and that result in unnecessary costs to the programs or in reimbursements for services that are not medically necessary or that fail to meet professionally recognized standards for health service. The following practices are deemed to be abuse by a vendor:
B. in the case of a recipient, the use of health services that results in unnecessary costs to the programs, or in reimbursements for services that are not medically necessary. The following practices are deemed to be abuse by a recipient:
C. in addition to the criteria in item B, the following practices are deemed to be abuse by a recipient enrolled in the restricted recipient program:
Subp. 2a. Electronically stored data.
"Electronically stored data" means data stored by any electronic means, including, but not limited to, data stored in an existing or preexisting computer system or computer network, magnetic tape, or computer disk.
Subp. 3. Federal share.
"Federal share" means the percent of federal financial participation in the cost of the state's medical assistance program.
Subp. 4. Fraud.
"Fraud" means:
A. acts which constitute a crime against any program, or attempts or conspiracies to commit those crimes, including the following:
B. making a false statement, false claim, or false representation to a program where the person knows or should reasonably know the statement, claim, or representation is false, including knowingly and willfully submitting a false or fraudulent application for provider status; and
C. a felony listed in United States Code, title 42, section 1320a-7b(b)(3)(D), subject to any safe harbors established in Code of Federal Regulations, title 42, part 1001, section 952.
Subp. 4a. Health plan.
"Health plan" means a health maintenance organization or other organization that contracts with the department to provide health services to recipients under a prepaid contract.
Subp. 5. Health services.
"Health services" has the meaning given in part 9505.0175, subpart 14.
Subp. 6. Health service record.
"Health service record" means documentation of the health service that is electronically stored, written, or diagrammed that indicates the nature, extent, and evidence of the medical necessity of a health service provided by a vendor and billed to a program.
Subp. 6a.
[Repealed, 19 SR 1898]
Subp. 6b.
[Repealed, 19 SR 1898]
Subp. 6c. Investigative costs.
"Investigative costs" are subject to the provisions of Minnesota Statutes, section 256B.064, subdivision 1d, and means the sum of the following expenses incurred by the department's investigator on a particular case:
A. hourly wage multiplied by the number of hours spent on the case;
B. employee benefits;
C. travel;
D. lodging;
E. meals; and
F. photocopying costs, paper, computer data storage or diskettes, and computer records and printouts.
Subp. 6d. Lockout.
"Lockout" means excluding or limiting up to 24 months the scope of health services for which a vendor may receive payment through a program.
Subp. 6e. Medically necessary or medical necessity.
"Medically necessary" or "medical necessity" has the meaning given in part 9505.0175, subpart 25.
Subp. 6f. Ownership or control interest.
"Ownership or control interest" has the meaning given in Code of Federal Regulations, title 42, part 455, sections 101 and 102.
Subp. 6g. Pattern.
"Pattern" means an identifiable series of more than one event or activity.
Subp. 7. Primary care provider.
"Primary care provider" means a provider designated by the department who is a physician or a group of physicians, nurse practitioner, or physician assistant practicing within the scope of the provider's practice, who is responsible for the direct care of a recipient, and for coordinating and controlling access to or initiating or supervising other health services needed by the recipient.
Subp. 8. Program.
"Program" means the Minnesota medical assistance program, the general assistance medical care program, MinnesotaCare, consolidated chemical dependency program, prepaid health plans, home and community-based services under a waiver from the Centers for Medicare and Medicaid Services of the United States Department of Health and Human Services, or any other health service program administered by the department.
Subp. 9. Provider.
"Provider" has the meaning given in part 9505.0175, subpart 38, and also includes a personal care provider.
Subp. 10. Recipient.
"Recipient" means an individual who has been determined eligible to receive health services under a program.
Subp. 10a. Responsible party.
"Responsible party" has the meaning given in Minnesota Statutes, section 256B.0655, subdivision 1h.
Subp. 10b. Restricted recipient program.
"Restricted recipient program" means a program for recipients who have failed to comply with the requirements of the program. Placement in the restricted recipient program does not include long-term care facilities. Placement in the restricted recipient program means:
A. requiring the recipient for a period of 24 or 36 months of eligibility to obtain health services from a designated primary care provider, hospital, pharmacy, or other designated health service provider located in the recipient's local trade area; or
B. prohibiting the recipient from using the personal care assistant choice or consumer-directed services for a period of 24 months of eligibility.
Subp. 11.
[Repealed, 33 SR 127]
Subp. 12. Suspending participation or suspension.
"Suspending participation" or "suspension" means making a vendor ineligible for reimbursement through program funds for a stated period of time.
Subp. 13. Suspending payments.
"Suspending payments" means stopping any or all program payments for health services billed by a provider pending resolution of the matter in dispute between the provider and the department.
Subp. 14. Terminating participation or termination.
"Terminating participation" or "termination" means making a vendor ineligible for reimbursement through program funds.
Subp. 15. Theft.
"Theft" means the act defined in Minnesota Statutes, section 609.52, subdivision 2.
Subp. 16. Third-party payer.
"Third-party payer" means the term defined in part 9505.0015, subpart 46, and the Medicare program.
Subp. 16a. Vendor.
"Vendor" has the meaning given to "vendor of medical care" in Minnesota Statutes, section 256B.02, subdivision 7. The term "vendor" includes a provider and also a personal care assistant. A vendor is subject to criminal background checks according to Minnesota Statutes, section 245C.03.
Subp. 17. Withholding payments.
"Withholding payments" means reducing or adjusting the amounts paid to a provider to offset overpayments previously made to the provider.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 16 SR 960; 19 SR 1898; L 2002 c 277 s 32; 33 SR 127; L 2011 1Sp11 art 3 s 12
Minn. R. 9505.2175 Health Service Records
Subpart 1. Documentation requirement.
As a condition for payment by a program, a vendor must document each occurrence of a health service provided to a recipient. The health service must be documented in the recipient's health service record as specified in subpart 2 and, when applicable, subparts 3 to 9. Program funds paid for a health service not documented in a recipient's health service record shall be recovered by the department.
Subp. 2. Required standards for health service records.
A vendor must keep a health service record as specified in items A to I.
A. The record must be legible at a minimum to the individual providing care.
B. The recipient's name must be on each page of the recipient's record.
C. Each entry in the health service record must contain:
D. The record must state:
E. The record must show the quantity, dosage, and name of prescribed drugs ordered for or administered to the recipient.
F. The record must contain reports of consultations that are ordered for the recipient.
G. The record must contain the recipient's plan of care, individual service plan as required by Minnesota Statutes, section 256B.092, or individual treatment plan. For purposes of this item, "plan of care" has the meaning given in part 9505.0175, subpart 35; and "individual treatment plan" has the meaning given in part 9505.0370, subpart 15.
H. The record must report the recipient's progress or response to treatment, and changes in the treatment or diagnosis.
I. The record of a laboratory or x-ray service must document the vendor's order for service.
Subp. 3. Requirements for pharmacy service records.
A pharmacy service record must comply with the requirements of subparts 1 and 2 and Minnesota Rules, part 6800.3110, relating to pharmacy licensing and operations, and Minnesota Rules, part 6800.3950, relating to electronic data processing of pharmacy records. However, the pharmacy service record must be a hard copy made at the time of the request for service and must be kept for five years as required under part 9505.2190, subpart 1.
Subp. 4. Medical transportation service records.
A medical transportation record must meet the requirements of subparts 1 and 2 and be signed by the driver and contain the following statement: "I certify and swear that I have accurately reported in this mileage log the miles I actually drove and the dates and times I actually drove them. I understand that misreporting the miles driven and hours worked is fraud for which I could face criminal prosecution or civil proceedings." Each transportation record for each trip must document:
A. the description and address of both the origin and destination, and the mileage for the most direct route from the origin to the destination;
B. the type of transportation provided;
C. if applicable, a physician's certification for nonemergency, ancillary, or special transportation services as defined in part 9505.0315, subpart 1, items A and F;
D. the name of the driver and license number of the vehicle used to transport the recipient;
E. whether the recipient is ambulatory or nonambulatory;
F. the time of the pick up and the time of the drop off with a.m. and p.m. designations;
G. the number of occupants in the vehicle; and
H. the name of the extra attendant when an extra attendant is used to provide special transportation services.
Subp. 5. Durable medical equipment records.
A durable medical equipment record must meet the requirements of subparts 1 and 2 and must document:
A. the type of equipment, including the brand and model names, the model number, and serial number, if available;
B. whether the equipment is being rented or purchased by the recipient;
C. when equipment is sold to a recipient, whether the equipment is under warranty and the length of the warranty;
D. repairs made by the current durable medical equipment provider to the equipment;
E. a shipping invoice or a shipping invoice with a delivery service manifest showing the date of delivery that proves that the medical equipment was delivered to the recipient; and
F. a physician's order or licensed practitioner's order for the equipment that specifies the type of equipment and the expected length of time the equipment will be needed by the recipient.
Subp. 5a. Medical supply record.
A medical supply record must meet the requirements of subparts 1 and 2 and must document:
A. a physician's order or licensed practitioner's order for the supplies that indicates the type of supply needed, the expected length of time the supplies will be needed, and the quantity needed;
B. the type and brand name of the supplies delivered to the recipient;
C. the quantity of each supply delivered to the recipient; and
D. a shipping invoice or a shipping invoice with a delivery service tracking log showing the date of delivery that proves the medical supply was delivered to the recipient.
Subp. 6. Rehabilitative and therapeutic services records.
Rehabilitative and therapeutic service records must meet the requirements of subparts 1 and 2, must meet the criteria in part 9505.0412, and must document:
A. objective and measurable goals that relate to the recipient's functioning;
B. the need for the level of service;
C. the reason the skills of a professional physical therapist or occupational therapist are needed; and
D. a licensed practitioner's order for the rehabilitative and therapeutic services.
Subp. 7.
[Repealed, 48 SR 487]
Subp. 8. School-based service records.
A health service record for a child with an individualized education program who receives covered school-based services, special transportation, or assistive technology devices must meet the requirements of subparts 1 and 2 and must include the following information:
A. the medical diagnosis or condition that indicates the need for an individualized education program (IEP);
B. a current, complete copy of the recipient's IEP, individualized family service plan, or individual interagency intervention plan that documents the type, frequency, duration, and scope of the covered IEP services to be provided and measurable outcomes;
C. a copy of the recipient's release of information to bill a Minnesota health care program for IEP services signed by the recipient's parent or legal representative, or a copy of the notice provided by the district to the parent or legal representative under Minnesota Statutes, section 125A.21, subdivision 2, paragraph (b);
D. the name of the school district that provided the service and the recipient's date of birth;
E. for IEP assistive technology devices, a description of the device, including type of device, manufacturer, model, and quantity of devices, and a copy of the invoice or rental agreement; and
F. for IEP special transportation services:
Subp. 9. Language interpreter services.
A language interpreter service record must meet the requirements of subparts 1 and 2 and must document:
A. the name of the interpreter;
B. the name of the company that employed the interpreter;
C. the relationship of the interpreter to the recipient;
D. the languages spoken by the recipient and a statement that the recipient has limited English language proficiency;
E. a statement that the billed interpreter services were provided directly to the recipient while the recipient received a medically necessary covered health service; and
F. the length of time in hours and minutes that the language interpreter spent with the recipient during the direct person-to-person covered health service.
History
- Statutory Authority: MS s 245.484; 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127; 35 SR 1967; L 2011 1Sp11 art 3 s 12
Minn. R. 9505.2180 Financial Records
Subpart 1. Financial records required of vendors.
The financial records, including written and electronically stored data, of a vendor who receives payment for a recipient's services under a program must contain the material specified in items A to I:
A. payroll ledgers, canceled checks, bank deposit slips, and any other accounting records;
B. contracts for services or supplies that relate to the vendor's costs and billings to a program for the recipient's health services;
C. evidence of the vendor's charges to recipients and to persons who are not recipients, consistent with the requirements of Minnesota Statutes, chapter 13;
D. evidence of claims for reimbursement, payments, settlements, or denials resulting from claims submitted to third-party payers or programs;
E. the vendor's appointment books for patient appointments and the schedules for patient supervision, if applicable;
F. billing transmittal forms;
G. records showing all persons, corporations, partnerships, and entities with an ownership or control interest in the vendor;
H. employee records for those persons currently employed by the vendor or who have been employed by the vendor at any time within the previous five years which under Minnesota Statutes, chapter 13, would be considered public data for a public employee such as employee name, salary, qualifications, position description, job title, and dates of employment; in addition employee records shall include the employee's time sheets, current home address of the employee or the last known address of any former employee, and criminal background checks, when required; and
I. delivery tracking information, where applicable, such as the provider's shipping invoice, delivery manifest, or the delivery service's tracking slip.
Subp. 2. Additional financial records required for long-term care facilities.
A long-term care facility must maintain:
A. the records required under subpart 1;
B. purchase invoices; and
C. records of the deposits and expenditure of funds in the recipients' resident fund accounts as required under part 9505.0425.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2185 Access to Records
Subpart 1. Recipient's consent to access.
A recipient is deemed to have authorized in writing a vendor or others to release to the department for examination according to Minnesota Statutes, section 256B.27, subdivision 4, upon the department's request, the recipient's health service records related to services under a program. The recipient's authorization of the release and review of health service records for services provided while the person is a recipient shall be presumed competent if given in conjunction with the person's application for a program. This presumption shall exist regardless of whether the application was signed by the person or the person's guardian or authorized representative as defined in part 9505.0015, subpart 8.
Subp. 2. Department access to records.
A vendor shall grant the department access during the department's normal business hours to examine health service and financial records related to a health service billed to a program. A vendor shall make its records available at the vendor's place of business on the day for which access was requested, unless the vendor and the department both agree that the records will be viewed at another location. Access to a recipient's health service record or vendor's records shall be for the purposes in part 9505.2200, subpart 1. The department shall notify the vendor no less than 24 hours before obtaining access to a health service or financial record, unless the vendor waives notice. The department's normal business hours are 8:00 a.m. to 5:00 p.m. Monday through Friday, excluding state holidays as defined in Minnesota Statutes, section 645.44, subdivision 5.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2190 Retention of Records
Subpart 1. Retention required; general.
A vendor shall retain all health service and financial records related to a health service for which payment under a program was received or billed for at least five years after the initial date of billing. Microfilm or electronically stored records satisfy the record keeping requirements of this subpart and part 9505.2175, subpart 3, in the fourth and fifth years after the date of billing. Vendors must maintain and store records in a manner that will allow for review by the department within the times set forth in part 9505.2185, subpart 2.
Subp. 2. Record retention after vendor withdrawal or termination.
A vendor who withdraws or is terminated from a program must retain or make available to the department on demand the health service and financial records as required under subpart 1.
Subp. 3. Record retention under change of ownership.
If the ownership of a long-term care facility or vendor service changes, the transferor, unless otherwise provided by law or written agreement with the transferee, is responsible for maintaining, preserving, and making available to the department on demand the health service and financial records related to services generated before the date of the transfer as required under subpart 1 and part 9505.2185, subpart 2.
Subp. 4. Record retention in contested cases.
In the event of a contested case, the vendor must retain health service and financial records as required by subpart 1 or for the duration of the contested case proceedings, whichever period is longer.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2195 Copying Records
The department, at its own expense, may photocopy or otherwise duplicate any health service or financial record related to a health service for which a claim or payment is made under a program. Photocopying shall be done on the vendor's premises on the day of the audit unless removal is specifically permitted by the vendor. If requested, a vendor must help the department duplicate any health service record or financial record, including hard copy or electronically stored data on the day of the audit.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2197 Vendor's Responsibility for Electronic Records
A vendor's use of electronic record keeping or electronic signatures shall meet the following requirements:
A. use of electronic record keeping or electronic signatures does not alter the vendor's obligations under state or federal law, regulation, or rule;
B. the vendor is responsible for all claims submitted by the vendor or the vendor's designee to the department regardless of the format in which the health service or financial record is maintained;
C. the vendor must ensure that the use of electronic record keeping does not limit the commissioner's access to records;
D. upon request, the vendor shall help department staff to access and copy all records, including encrypted records and electronic signatures; and
E. the vendor must establish a mechanism or procedure to ensure that:
History
- Statutory Authority: MS s 256B.04
- History: 33 SR 127
Minn. R. 9505.2200 Identifying Fraud, Theft, Abuse, or Error
Subpart 1. Department investigation.
The department shall investigate vendors or recipients to monitor compliance with program requirements for the purposes of identifying fraud, theft, abuse, or error in the administration of the programs.
Subp. 2. Contacts to obtain information.
The department may contact any person, agency, organization, or other entity that is necessary to an investigation under subpart 1. Among those who may be contacted are:
A. government agencies;
B. third-party payers, including Medicare;
C. professional review organizations as defined in Minnesota Statutes, section 145.61, subdivision 5, or their representatives;
D. consultants under contract in part 9505.0185;
E. recipients and their responsible relatives;
F. vendors and persons employed by or under contract to vendors;
G. professional associations of vendors and their peers;
H. recipients and recipient advocacy organizations; and
I. members of the public.
Subp. 3. Activities included in department's investigation.
The department's authority to investigate extends to the examination of any person, document, or thing which is likely to lead to information relevant to the expenditure of funds, provision of services, or purchase of items, provided that the information sought is not privileged against such an investigation by operation of any state or federal law. Among the activities which the department's investigation may include are as follows:
A. examination of health service and financial records;
B. examination of equipment, materials, prescribed drugs, or other items used in or for a recipient's health service under a program;
C. examination of prescriptions for recipients;
D. interviews of contacts specified in subpart 2;
E. verification of the professional credentials of a vendor, the vendor's employees, and entities under contract with the vendor to provide health services or maintain health service and financial records related to a program;
F. consultation with the department's peer review mechanisms; and
G. determination of whether a health service provided to a recipient meets the criteria of parts 9505.0210 and 9505.0215.
Subp. 4. Determination of investigation.
After completing its investigation under subparts 1 to 3, the department shall determine whether:
A. the vendor or the recipient is in compliance with the requirements of a program and program payments were properly made;
B. insufficient evidence exists that fraud, theft, abuse, or error has occurred; or
C. the evidence of fraud, theft, abuse, or error supports administrative, civil, or criminal action.
Subp. 5. Postinvestigation actions.
A. After completing the determination required under subpart 4, the department shall take one or more of the actions specified in subitems (1) to (8):
B. After completing the determination required under subpart 4, the department may seek recovery of investigative costs from a vendor under Minnesota Statutes, section 256B.064, subdivision 1d.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2205 Imposition of Vendor Sanctions
The commissioner shall decide what sanction shall be imposed against a vendor under part 9505.2210. The commissioner shall consider the following factors in determining the sanctions to be imposed on a vendor:
A. nature and extent of fraud, theft, abuse, or error;
B. history of fraud, theft, abuse, or error; and
C. actions taken or recommended by other state regulatory agencies.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2207 Placement of Recipient in Restricted Recipient Program
The commissioner shall decide based upon information gathered under part 9505.2200 whether to place a recipient in the restricted recipient program. The commissioner shall consider the recipient's access to the local trade area, access to medically necessary services, and personal preference in the choice of providers.
History
- Statutory Authority: MS s 256B.04
- History: 33 SR 127
Minn. R. 9505.2210 Administrative Sanctions for Vendors
Subpart 1. Authority to impose administrative sanction.
The commissioner shall impose administrative sanctions or issue a warning letter if the department's investigation under part 9505.2200 determines the presence of fraud, theft, abuse, or error in connection with a program or if the vendor refuses to grant the department access to records as required under part 9505.2185.
Subp. 2. Nature of administrative sanction.
The actions specified in items A to C are administrative sanctions that the commissioner may impose for the conduct specified in subpart 1.
A. For any vendor, the actions are:
B. For a provider, the actions in item A, and in addition:
Subp. 3.
[Repealed, 33 SR 127]
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2215 Monetary Recovery
Subpart 1. Authority to seek monetary recovery.
The commissioner shall seek monetary recovery:
A. from a vendor, if payment for a recipient's health service under a program was the result of fraud, theft, abuse, or error on the part of the vendor, department, or local agency; or
B. from a recipient, if payment for a health service provided under a program was the result of fraud, theft, abuse, or error on the part of the recipient absent a showing that recovery would, in that particular case, be unreasonable or unfair.
Subp. 2. Methods of monetary recovery.
The commissioner shall recover money described in subpart 1 by the following means:
A. permitting voluntary repayment of money, either in lump sum payment or installment payments;
B. using any legal collection process;
C. deducting or withholding program payments; and
D. withholding payments to a provider under Code of Federal Regulations, title 42, section 447.31.
Subp. 3. Interest charges on monetary recovery.
If the department permits the use of installment payments to repay money described in subpart 1, the department may assess interest on the funds to be received at the rate established by the Department of Revenue under Minnesota Statutes, section 270C.40. Interest may accrue from the effective date of recovery, as specified in part 9505.2230, subpart 2.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; L 2005 c 151 art 1 s 116; 33 SR 127
Minn. R. 9505.2220 Monetary Recovery; Random Sample Extrapolation
Subpart 1. Authorization.
For the purpose of part 9505.2215, the commissioner is authorized to calculate the amount of monetary recovery from a vendor based upon extrapolation from a systematic random sample of claims submitted by the vendor and paid by the program or programs. The department's random sample extrapolation shall constitute a rebuttable presumption regarding the calculation of monetary recovery. If the presumption is not rebutted by the vendor in the appeal process, the department shall use the extrapolation as the monetary recovery figure specified in subpart 3.
Subp. 1a. Definitions.
For purposes of this part, the following terms have the meanings given them.
A. "Cluster sampling" means a method of sampling in which a selection of groups of items are sampled rather than a selection of individual items.
B. "Extrapolation" means estimating an unknown overpayment by projecting, with a calculated margin of error, the results from a random sample to the population from which the random sample was drawn. The form and computations for the extrapolation and its confidence interval depend on the method of random sampling.
C. "Interval estimate" means the estimation of a parameter, in terms of an interval, for which one can assert with a given probability or degree of confidence that it contains the actual value of the parameter.
D. "90 percent confidence interval" means an interval estimate, or estimate with a margin of error, for a population parameter computed using a procedure that produces intervals that contain the true parameter for 90 percent of all random samples.
E. "Population" or "population of claims" means a defined set of paid claims for a specified period that exist at the time of the audit or investigation.
F. "Population parameter" means a measure such as mean, median, standard deviation, or proportion that is calculated or defined by using every item in the population.
G. "Probe sample" means a limited initial random sample of at least 50 units that can be used to provide guidance in selecting the sample size for a full random sample.
H. "Random sample of claims" means a subset of claims chosen from a population of claims using a random sampling method including simple random sampling, stratified sampling, cluster sampling, or another sampling method that the department determines is more likely to lead to greater precision, or a closer approximation to the population mean.
I. "Simple random sampling" means a method of sampling in which all individual items in the population have an equal probability of being included in the sample.
J. "Stratified sampling" means a method of sampling in which the population is divided into two or more parts and a simple random sample is selected for each part. An estimate is determined separately for each part, and these are combined to form an estimate for the entire population.
K. "RAT-STATS" refers to the primary statistical software used by the Office of the Inspector General of the United States Department of Health and Human Services and the Centers for Medicare and Medicaid Services.
L. "Sampling plan" means the combination of the identified population, the random sampling method, the sample size, and the technique for implementing the random sampling method on the population.
M. "Statistical analysis system" or "SAS" means an analytics and statistics software system developed by the SAS Institute.
N. "SPSS" means an analytics and statistics software system licensed by IBM.
Subp. 2. Decision to use samples.
The department may use sampling and extrapolation to calculate a monetary recovery if:
A. the claims to be reviewed represent services to 50 or more recipients; or
B. there are more than 1,000 claims to be reviewed.
Subp. 3. Statistical method.
The department must use the procedures in this subpart when calculating the amount of monetary recovery by random sample extrapolation from the audit results of a random sample of claims.
A. The sampling plan and extrapolation must be chosen and performed according to guidance from the Centers for Medicare and Medicaid Services including the most recent version of the Medicare Program Integrity Manual.
B. The department must tell the provider the sampling method the department is using prior to drawing the sample.
C. The vendor must pay an overpayment identified under this part only if the overpayment identified has a 90 percent confidence interval that does not contain zero dollars.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127; 46 SR 792
Minn. R. 9505.2225 Provider or Vendor Suspension
The commissioner shall suspend a vendor who has been convicted of a crime related to Medicare or medical assistance as provided in Minnesota Statutes, sections 256B.064 and 256D.03, subdivision 7, clause (b). The procedures in part 9505.0475 shall be followed in the suspension process.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898
Minn. R. 9505.2230 Notice of Agency Action
Subpart 1. Required written notice.
The department shall give notice in writing to a vendor or recipient of a monetary recovery, placement in the restricted recipient program, or administrative sanction that is to be imposed by the department. For vendors, the notice shall be sent by certified mail. For recipients, the notice shall be sent by first class mail. The department shall place an affidavit of the first class mailing in the recipient's file as an indication of the date of mailing and the address.
A. In all cases, the notice shall state:
B. In cases of vendor suspension or termination under part 9505.2235, in addition to the requirements of item A, the notice shall state:
Subp. 2. Effective date of recovery or sanction.
For vendors, the effective date of the proposed monetary recovery or sanction shall be the first day after the last day for requesting an appeal as provided in part 9505.2245, subpart 1, item B. For recipients, the effective date of the proposed action shall be 30 days after the recipient's receipt of the notice required under subpart 1. If an appeal is made under part 9505.2245, the proposed action shall be delayed pending the final outcome of the appeal, except as provided by part 9505.2231. Implementation of a proposed action following the resolution of an appeal may be postponed if in the opinion of the commissioner the delay of action is necessary to protect the health or safety of the recipient or recipients.
Subp. 3. Effect of department's administrative determination.
Unless a timely and proper appeal made under part 9505.2245 is received by the department, the administrative determination of the department shall be considered final and binding.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2231 Suspension or Withholding of Payments
Subpart 1. Grounds for suspension or withholding before an appeal.
The commissioner is authorized to suspend or withhold payments to a provider before an appeal provided in part 9505.2245, if:
A. there is substantial likelihood that the department will prevail in an action under parts 9505.2160 to 9505.2245;
B. there is a substantial likelihood that the provider's practice, which is the basis for the department's determination made under part 9505.2200, subpart 4, will continue in the future;
C. there is reasonable cause to doubt the provider's financial ability to repay the amount determined to be due; or
D. suspending participation or withholding payment is necessary to comply with Minnesota Statutes, section 256B.064, subdivision 2.
Subp. 2. Exception to prehearing suspension or withholding.
The commissioner shall not order a prehearing suspension or withholding of payments to a nursing home or convalescent care facility.
Subp. 3. Federal share.
When an overpayment has been made by the department, the commissioner is authorized to recover from a provider the federal share when it is due to the federal government under federal law and regulations.
History
- Statutory Authority: MS s 256B.04
- History: 15 SR 2563
Minn. R. 9505.2235 Suspension or Termination of Vendor Participation
Subpart 1. Effect of suspension or termination.
The provider agreement of a vendor who is under suspension or terminated from participation shall be void from the date of the suspension or termination. A suspension or termination from medical assistance does not mean suspension or termination from another program unless the suspension or termination is extended to that program. The vendor who is under suspension or terminated from participation shall not submit a claim for payment under a program, either through a claim as an individual or through a claim submitted by a clinic, group, corporation, or professional association except in the case of claims for payment for health services provided before the suspension or termination from participation. No payments shall be made to a vendor, either directly or indirectly, for services provided under a program from which the vendor had been suspended or terminated.
Subp. 2. Reinstatement of vendor.
A vendor who is under suspension or terminated from participation is eligible to apply for reinstatement as a provider or vendor at the end of the period of suspension or when the basis for termination no longer exists. The department shall review a vendor's application to determine whether the vendor is qualified to participate as specified by the participation requirements of part 9505.0195 and Code of Federal Regulations, title 42, section 1002.215.
Subp. 3. Prohibited submission of vendor's claims.
A provider shall not submit a claim for a health service under a program provided by a vendor who is under suspension or terminated from participation unless the health service was provided before the vendor's suspension or termination. If a provider receives payment under a program for a health service provided by a vendor after the vendor's suspension or termination from participation, the department shall recover the amount of the payment and may impose administrative sanctions against the provider if the commissioner determines that the provider knew or had reason to know of the suspension or termination.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898
Minn. R. 9505.2236 Restriction of Provider or Vendor Participation
Subpart 1. Effect of restriction on a provider or vendor.
The provider agreement of a vendor who is restricted from participation shall be amended by the restriction specified in the notice of action to the vendor provided under part 9505.2230. A vendor who is restricted from participation shall not submit a claim for payment under a program for services or charges specified in the notice of action, either through a claim as an individual or through a claim submitted by a clinic, group, corporation, or professional association, except in the case of claims for payment for health services otherwise eligible for payment and provided before the restriction. No payments shall be made to a vendor, either directly or indirectly, for restricted services or charges specified in the notice of action.
Subp. 2. Reinstatement of restricted provider or vendor.
A vendor who is restricted from participation is eligible to apply for reinstatement as an unrestricted provider or vendor at the end of the period of restriction. The department shall review a vendor's application to determine whether the vendor is qualified to participate without restrictions as specified by the participation requirements of part 9505.0195 and Code of Federal Regulations, title 42, section 1002.215.
Subp. 3. Prohibited submission of restricted vendor's claims.
A provider shall not submit a claim for a health service furnished under a program by a vendor who is restricted from furnishing the health service or submitting a charge or claim, unless the health service was provided before the vendor's restriction. If a provider receives payment for a health service furnished under a program by a vendor restricted from furnishing the health service or submitting a charge or claim, the department shall recover the amount of the payment and may impose administrative sanctions against the provider if the commissioner determines that the provider knew or had reason to know of the restriction.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898
Minn. R. 9505.2238 Placement in Restricted Recipient Program
Subpart 1. Effect of placement.
A recipient who has been placed in the restricted recipient program is eligible to receive health care services only from the designated providers. A recipient is placed in the restricted recipient program for a period of 24 months of eligibility. The period of 24 months of eligibility begins at the time of placement in the restricted recipient program. A recipient will be given 30 days to designate specific providers. At the end of the 30 days, the department shall designate specific providers for a recipient who has failed to designate specific providers. A recipient who has been prohibited from using the personal care assistant choice or consumer-directed services option shall be prohibited from using that option for a period of 24 months of eligibility.
Subp. 2. Change in selected providers.
A recipient may change designated providers under the following circumstances:
A. a recipient may change designated providers for any stated reason after the initial three months of restriction, provided the changes do not occur more than twice in one year; and
B. a recipient may change designated providers as often as needed under the circumstances in subitems (1) to (3):
Subp. 3. Placement renewal.
After a recipient has completed an initial 24-month period of eligibility in the restricted recipient program, the department may renew the recipient's placement in the restricted recipient program under part 9505.2165, subpart 2, item C, by sending written notice to the recipient. The recipient will remain placed in the restricted recipient program pending the resolution of an appeal of the placement renewal. If the recipient's placement is not renewed, the recipient shall be notified by the department that the recipient's participation in the restricted recipient program is over. Renewal of the recipient's placement in the restricted recipient program shall be for an additional period of 36 months of eligibility.
Subp. 4. Emergency health services.
Emergency health services provided to a recipient in the restricted recipient program by a vendor shall be eligible for payment if the service provided meets the definition of an emergency in part 9505.0175, subpart 11. The vendor must provide documentation of the emergency circumstances with the emergency service payment claim.
History
- Statutory Authority: MS s 256B.04
- History: 33 SR 127
Minn. R. 9505.2240 Notice to Third Parties
Subpart 1. Notice about vendors.
After the department has taken an action against a vendor as specified in part 9505.2210, subpart 2, item A or B, and the right to appeal has been exhausted or the time to appeal has expired, the department shall issue the notices required in items A to C.
A. The department shall notify the appropriate professional society, board of registration or licensure, and federal or state agencies of the findings made, sanctions imposed, appeals made, and the results of any appeal.
B. The department shall notify the general public about action taken under part 9505.2210, subpart 2, item A, subitem (1), (2), (4), or (5). The notice shall include the vendor's name and service type, the action taken by the department, and the effective date or dates of the action.
C. If the vendor requests reinstatement and the department approves the request for reinstatement, the department shall give written notice to the vendor and those notified in items A and B about the action taken under part 9505.2210, subpart 2, item A, subitem (1), (2), (4), or (5), and the reinstatement.
Subp. 2. Information and notice about recipients.
After the department has placed the recipient in the restricted recipient program as specified in parts 9505.2207 and 9505.2238 and the recipient's right to appeal has been exhausted or the time to appeal has expired, the department must notify the recipient's primary care provider and other health care providers that the recipient has been placed in the restricted recipient program and the circumstances leading to the placement. Notice shall include the recipient's name, program, the nature of the placement of the recipient in the restricted recipient program, a list of providers from whom the recipient may receive medical services, and the beginning and ending dates of the placement period. The recipient's placement in the restricted recipient program must be indicated in an eligibility verification system.
History
- Statutory Authority: MS s 14.3895; 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127; 41 SR 884
Minn. R. 9505.2245 Appeal of Department Action
Subpart 1. Vendor's right to appeal.
A vendor may appeal the department's proposed actions under parts 9505.2210, 9505.2215, and 9505.2220, under the provisions of Minnesota Statutes, sections 14.57 to 14.62.
A. The appeal request shall specify:
B. An appeal shall be considered timely if written notice of appeal is received by the commissioner as provided by statute.
C. Before the appeal hearing, the commissioner may suspend or reduce payment to the provider, except a nursing facility or convalescent care facility, if the commissioner determines that action is necessary to protect the public welfare and the interests of the program.
Subp. 2. Recipient's right to appeal.
A recipient may appeal any sanction proposed by the department under Minnesota Statutes, section 256.045, and part 9505.0130.
History
- Statutory Authority: MS s 256B.04; 256D.03
- History: 15 SR 2563; 19 SR 1898; 33 SR 127
Minn. R. 9505.2250 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2260 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2270 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2280 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2290 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2300 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2310 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2320 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2330 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2340 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2350 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2360 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2370 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2380 [Repealed, 13 SR 258]
[Repealed, 13 SR 258]
Minn. R. 9505.2390 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2395 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2396 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2400 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2405 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2410 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2413 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2415 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2420 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2425 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2426 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2430 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2435 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2440 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2445 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2450 [Repealed, L 2001 1Sp9 art 4 s 34]
[Repealed, L 2001 1Sp9 art 4 s 34]
Minn. R. 9505.2455 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2458 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2460 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2465 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2470 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2473 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2475 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2480 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2485 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2486 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2490 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2495 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2496 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.2500 [Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
[Repealed, L 2001 1Sp9 art 3 s 76; art 4 s 34]
Minn. R. 9505.3010 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3015 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3020 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3025 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3030 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3035 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3040 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3045 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3050 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3055 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3060 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3065 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3068 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3070 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3075 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3080 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3085 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3090 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3095 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3100 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3105 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3107 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3110 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3115 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3120 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3125 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3130 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3135 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3138 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3139 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3140 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3500 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3510 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3520 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3530 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3535 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3540 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3545 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3550 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3560 [Repealed, L 2001 1SP9 art 3 s 76]
[Repealed, L 2001 1SP9 art 3 s 76]
Minn. R. 9505.3570 [Repealed, L 2001 1SP9 art 3 s 76]
[Repealed, L 2001 1SP9 art 3 s 76]
Minn. R. 9505.3575 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3580 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3585 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3600 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3610 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3620 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3622 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3624 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3626 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3630 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3635 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3640 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3645 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3650 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3660 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3670 [Repealed, L 2001 1Sp9 art 3 s 76]
[Repealed, L 2001 1Sp9 art 3 s 76]
Minn. R. 9505.3680 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3690 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.3700 [Repealed, L 2003 1Sp14 art 2 s 57]
[Repealed, L 2003 1Sp14 art 2 s 57]
Minn. R. 9505.5000 Applicability
Parts 9505.5000 to 9505.5105 establish the procedures for prior authorization of health services and the requirement of a second surgical opinion as conditions of payment to providers of health services for recipients of medical assistance, MinnesotaCare, and general assistance medical care.
These parts shall be read in conjunction with title XIX of the Social Security Act, Code of Federal Regulations, title 42, sections 430.00 to 489.57; Minnesota Statutes, sections 256L.03; 256B.01 to 256B.40; 256B.64 to 256B.71; 256D.01 to 256D.21; parts 9505.0170 to 9505.0475; 9505.0501 to 9505.0545; 9505.1000 to 9505.1040; and 9505.2160 to 9505.2245, and with rules adopted by the commissioner under Minnesota Statutes, sections 256L.02, 256.991, and 256D.03, subdivision 7, paragraph (b).
History
- Statutory Authority: MS s 256.9352; 256.991; 256B.04; 256D.03; 256L.02
- History: 10 SR 842; 13 SR 1688; 19 SR 2433
Minn. R. 9505.5005 Definitions
Subpart 1. Scope.
The terms used in parts 9505.5000 to 9505.5105 have the meanings given them in this part.
Subp. 1a. Authorization number.
"Authorization number" means the number issued by:
A. the department, or an entity under contract to the department, to issue a number to a provider for the provision of a covered health service, as specified in part 9505.5010; or
B. the medical review agent that establishes that the surgical procedure requiring a second surgical opinion is medically appropriate.
Subp. 1b. Certification number.
"Certification number" means the number issued by the medical review agent that establishes that all or part of a recipient's inpatient hospital services are medically necessary.
Subp. 2. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or an authorized designee.
Subp. 3. Consultant.
"Consultant" means an individual who is licensed or registered according to state law or meets the credentials established by the respective professional organization in an area of health care or medical service; is employed by or under contract with the Department of Human Services; advises the department whether to approve, deny, or modify criteria for the approval of authorization requests in his or her area of expertise; advises the department on and recommends to the department policies concerning health services and whether health services meet the criteria in part 9505.5045; and performs other duties as assigned.
Subp. 4. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 5. Emergency.
"Emergency" means a medical condition that, if not immediately diagnosed and treated, could cause a recipient serious physical or mental disability, continuation of severe pain, or death.
Subp. 6. Fair hearing.
"Fair hearing" means an administrative proceeding under Minnesota Statutes, section 256.045 and as provided in part 9505.5105, to examine facts concerning the matter in dispute and to advise the commissioner whether the department's decision to reduce or deny benefits was correct.
Subp. 7. General assistance medical care or GAMC.
"General assistance medical care" or "GAMC" means the health services provided to a recipient under the general assistance medical care program according to Minnesota Statutes, chapter 256D.
Subp. 8. Health services.
"Health services" means the services and supplies furnished to a recipient by a provider as defined in subpart 16.
Subp. 9. Investigative.
"Investigative" means:
A. A health service procedure which has progressed to limited human application and trial, which lacks wide recognition as a proven and effective procedure in clinical medicine as determined by the National Blue Cross and Blue Shield Association Medical Advisory Committee, and utilized by Blue Cross and Blue Shield of Minnesota in the administration of their program.
B. A drug or device that the United States Food and Drug Administration has not yet declared safe and effective for the use prescribed. For purposes of this definition, drugs and devices shall be those identified in the Food and Drug Act.
Subp. 10. Local agency.
"Local agency" means a county or a multicounty agency that is authorized under Minnesota Statutes as the agency responsible for the administration of the medical assistance and general assistance medical care programs.
Subp. 11. Local trade area.
"Local trade area" means the geographic area surrounding the recipient's residence which is commonly used by other persons in the same area to obtain necessary goods and services.
Subp. 12. Medical assistance or MA.
"Medical assistance" or "MA" means the Medicaid program established by title XIX of the Social Security Act and Minnesota Statutes, chapter 256B. For purposes of parts 9505.5035 to 9505.5105, medical assistance also refers to general assistance medical care and MinnesotaCare unless otherwise specified.
Subp. 12a. Medical appropriateness or medically appropriate.
"Medical appropriateness" or "medically appropriate" refers to a determination, by a medical review agent, that the recipient's need for a surgical procedure requiring a second medical opinion meets the criteria in Minnesota Statutes, section 256B.0625, subdivisions 1, 4a, and 24.
Subp. 12b. Medical review agent.
"Medical review agent" means the representative of the commissioner who is authorized by the commissioner to make decisions about second medical opinions under parts 9505.5035 to 9505.5105.
Subp. 13. Medicare.
"Medicare" means the health insurance program for the aged and disabled established by title XVIII of the Social Security Act.
Subp. 13a. MinnesotaCare.
"MinnesotaCare" means the program established under Minnesota Statutes, sections 256L.01 to 256L.10.
Subp. 14. Physician.
"Physician" means a person licensed to provide services within the scope of his or her profession as defined in Minnesota Statutes, chapter 147. For purposes of the second medical opinion requirement in parts 9505.5035 to 9505.5105, physician shall also mean a person licensed to provide dental services within the scope of his or her profession as defined in Minnesota Statutes, section 150A.06, subdivision 1.
Subp. 14a. Physician adviser.
"Physician adviser" means a physician who is qualified to render an opinion about the surgical procedure as evidenced by the physician's certification or eligibility for certification from the appropriate specialty board if, according to the community standard, the certification or eligibility for certification is required of physicians performing the surgical procedure.
Subp. 14b. Recipient ID number.
"Recipient ID number" means the unique 8-digit identification number assigned to a recipient who has been determined eligible for MA, GAMC, or MinnesotaCare.
Subp. 15. Prior authorization.
"Prior authorization" means the written approval and issuance of an authorization number by the department, or by an entity under contract to the department, to a provider for the provision of a covered health service, as specified in part 9505.5010, prior to payment for that service.
Subp. 16. Provider.
"Provider" means an individual or organization under an agreement with the department to furnish health services to persons eligible for the medical assistance, general assistance medical care, or MinnesotaCare programs.
Subp. 17. Recipient.
"Recipient" means a person who is eligible for and receiving benefits from the medical assistance, general assistance medical care, or MinnesotaCare programs.
Subp. 17a. Reconsideration.
"Reconsideration" means a review, as set forth in part 9505.5078, of a second physician adviser's opinion that a surgical procedure is not medically appropriate.
Subp. 18. Referee.
"Referee" means an individual who conducts fair hearings under Minnesota Statutes, section 256.045 and recommends orders to the commissioner.
Subp. 18a. Second opinion or second medical opinion.
"Second opinion" or "second medical opinion" means the determination by the medical review agent under parts 9505.5035 to 9505.5105 that a surgical procedure requiring a second medical opinion is or is not medically appropriate.
Subp. 18b.
[Repealed, 20 SR 2405]
Subp. 19. Working days.
"Working days" means Monday through Friday, excluding state recognized legal holidays.
History
- Statutory Authority: MS s 256.0625; 256.9352; 256.991; 256B.04; 256D.03; 256L.02
- History: 10 SR 842; 13 SR 1688; 19 SR 2433; 20 SR 2405
Minn. R. 9505.5010 Prior Authorization Requirement
Subpart 1. Provider requirements.
A provider shall obtain prior authorization as a condition of payment under the medical assistance, general assistance medical care, and MinnesotaCare programs for health services designated under parts 9505.0170 to 9505.0475 and 9505.5025; and Minnesota Statutes, section 256B.0625, subdivision 25. The provider of the health service shall submit the request on form DHS-3065 or DHS-3066, or the American Dental Association (ADA) form as required in subpart 3, and shall submit materials, reports, progress notes, admission histories, and other information that substantiates that the service is medically necessary to treat the recipient. If the provider obtains prior authorization before the health service is provided but before payment, the provider shall be assured payment at the authorized level after the recipient has received the service. If a provider requests prior authorization after the service has been provided but before payment, the provider shall be assured of payment only if prior authorization is given. Additionally, prior authorization shall assure the provider payment for the approved health service only if the service is given during a time the person is a recipient and the provider meets all requirements of the medical assistance, general assistance medical care, or MinnesotaCare programs.
Subp. 2.
[Repealed, 19 SR 2433]
Subp. 3. Submission of forms.
The provider shall submit to the department a request for prior authorization on form DHS-3065 or DHS-3066, or the American Dental Association (ADA) form, which has been completed according to instructions in the Minnesota Health Care Programs Provider Manual, and other information necessary to address the criteria in part 9505.5030. The provider shall bear the burden of establishing compliance with the criteria in part 9505.5030 and shall submit information which demonstrates that the criteria in part 9505.5030 are met. The provider who administers or supervises the recipient's care shall personally review and sign the form and any attached documentation.
Subp. 4. Consequences for failure to obtain prior authorization.
A provider who furnishes health services without obtaining prior authorization under parts 9505.5010 to 9505.5030 shall be denied payment. A physician, hospital, or other provider who is denied payment because of failure to comply with parts 9505.5010 to 9505.5030 shall not seek payment from the recipient and the recipient shall not be liable for payment of the service for which the provider is denied payment due to lack of prior authorization.
History
- Statutory Authority: MS s 256.9352; 256.991; 256B.04; 256D.03; 256L.02
- History: 10 SR 842; 13 SR 1688; 16 SR 2102; 19 SR 2433
Minn. R. 9505.5015 [Repealed, 19 SR 2433]
[Repealed, 19 SR 2433]
Minn. R. 9505.5020 Department Responsibilities
Subpart 1. Notification requirements.
If the information submitted by the provider does not meet the requirements of part 9505.5030, the department shall notify the provider of what is necessary to complete the request. The department shall send the provider, within 30 working days of receipt of all the information required in part 9505.5010, a notice of the action taken on the request for prior authorization. If the prior authorization request is denied, the department shall send the recipient within the same time period a copy of the notice sent to the provider and a statement of the recipient's right to appeal as provided in Minnesota Statutes, section 256.045.
Subp. 2. Retention of information submitted by provider.
The department shall have the right to retain information submitted to the department by the provider in accordance with part 9505.5010.
History
- Statutory Authority: MS s 256.9352; 256.991; 256B.04; 256D.03; 256L.02
- History: 10 SR 842; 19 SR 2433
Minn. R. 9505.5025 Prior Authorization Requirement for Health Services Provided Outside of Minnesota
Prior authorization for health services to be provided outside of Minnesota under part 9505.0215 must be obtained before the service is provided when, at the time of service, the recipient is located outside of Minnesota and the recipient's local trade area. A health service that is provided to a Minnesota resident outside of Minnesota but within the recipient's local trade area and that would not require prior authorization if it were provided to a Minnesota resident within Minnesota shall be exempt from the prior authorization requirement.
History
- Statutory Authority: MS s 256.9352; 256.991; 256B.04; 256D.03; 256L.02
- History: 10 SR 842; 19 SR 2433; 36 SR 10
Minn. R. 9505.5030 Criteria for Approval of Prior Authorization Request
A request for prior authorization of a health service shall be evaluated by consultants using the criteria given in items A to F. A health service meeting the criteria in this part shall be approved, if the health service is otherwise a covered service under the MA or GAMC programs. The health service must:
A. be medically necessary as determined by prevailing medical community standards or customary practice and usage;
B. be appropriate and effective to the medical needs of the recipient;
C. be timely, considering the nature and present state of the recipient's medical condition;
D. be furnished by a provider with appropriate credentials;
E. be the least expensive appropriate alternative health service available; and
F. represent an effective and appropriate use of program funds.
History
- Statutory Authority: MS s 256.991
- History: 10 SR 842
Minn. R. 9505.5035 Surgical Procedures Requiring Second Medical Opinion
Subpart 1. General requirements.
Second medical opinions shall be required for medical assistance, general assistance medical care, and MinnesotaCare recipients for inpatient and outpatient elective surgical procedures according to the list published in the State Register under Minnesota Statutes, section 256B.0625, subdivisions 1, 4a, and 24. Publication shall occur in the last issue of the State Register for the month of October if there has been a revision in the list since the last October. In addition, the department shall publish any revision of the list at least 45 days before the effective date if the revision imposes a second medical opinion requirement. The department shall send each provider a copy of the published list or a revision of the published list.
Subp. 2. Requirements prior to eligibility determination.
The requirements of parts 9505.5035 to 9505.5105 shall apply to individuals who have applied for MA or GAMC, but whose applications have not yet been approved or denied at the time the surgical procedure is performed.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 10 SR 842; L 1988 c 689 art 2 s 268; 13 SR 1688; 20 SR 2405
Minn. R. 9505.5040 [Repealed, 20 SR 2405]
[Repealed, 20 SR 2405]
Minn. R. 9505.5041 Surgical Procedure Eligible for Medicare Payment
A provider who performs a surgical service requiring a second medical opinion on a recipient eligible for Medicare must bill Medicare as specified in part 9505.0440. If Medicare denies payment or makes a partial payment for the service, the provider may request the medical review agent to issue an authorization number for medical assistance billing purposes. The provider's claim for medical assistance payment must comply with part 9505.0440 and the time limit specified in part 9505.0450, subpart 4, item A.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 20 SR 2405
Minn. R. 9505.5045 Criteria to Determine When Second Medical Opinion Is Required
The commissioner shall use the criteria in items A to D to determine which surgical procedures shall be subject to the second medical opinion requirement.
A. Authoritative medical literature identifies the surgical procedure as being overutilized.
B. The surgical procedure is shown to be utilized to a greater degree within the Medicaid population than in the non-Medicaid population.
C. The utilization or cost of a surgical procedure falls within the top ten percent of all surgical procedures reimbursed under the MA and GAMC programs.
D. Alternative methods of treatment which are less intrusive are available.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 10 SR 84; 20 SR 2405
Minn. R. 9505.5046 Criteria to Determine Medical Appropriateness
The criteria and standards to determine the medical appropriateness of a surgical procedure for which a second medical opinion is required shall be as required in Minnesota Statutes, section 256B.0625, subdivisions 1, 4a, and 24.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 20 SR 2405
Minn. R. 9505.5050 [Repealed, 20 SR 2405]
[Repealed, 20 SR 2405]
Minn. R. 9505.5055 [Repealed, 20 SR 2405]
[Repealed, 20 SR 2405]
Minn. R. 9505.5060 [Renumbered 9505.5091]
[Renumbered 9505.5091]
Minn. R. 9505.5065 [Repealed, 20 SR 2405]
[Repealed, 20 SR 2405]
Minn. R. 9505.5070 [Repealed, 20 SR 2405]
[Repealed, 20 SR 2405]
Minn. R. 9505.5075 Physician Responsibility
When a surgical procedure is subject to a second medical opinion, the physician offering to provide the surgical procedure must contact the medical review agent for a determination of whether the surgical procedure is medically appropriate. The physician must request the determination of whether the surgical service is medically appropriate before submitting a claim for medical assistance payment. The claim for payment must have the authorization number given by the medical review agent and must comply with the requirements of part 9505.0450.
The physician must give the medical review agent the following information by telephone:
A. the recipient's name, ID number, and date of birth;
B. the admitting physician's name and provider number;
C. the primary procedure code according to the most recent edition of Physicians' Current Procedural Terminology published by the American Medical Association or the International Classification of Diseases -- Clinical Modification, published by the Commission on Professional and Hospital Activities, Green Road, Ann Arbor, Michigan 48105, which is incorporated by reference and available through the Minitex interlibrary loan system and is subject to change;
D. the expected date of the surgical procedure;
E. the recipient's diagnosis by diagnostic code according to the most recent edition of the International Classification of Diseases -- Clinical Modification;
F. information from the recipient's medical record sufficient to enable the medical review agent to determine if the surgical procedure meets the criteria in part 9505.5046;
G. whether the surgical procedure is in response to an emergency;
H. whether the surgical procedure is a consequence of, or a customary and accepted practice incident to, a more major surgical procedure; and
I. the name and provider number of the inpatient or outpatient hospital where the surgical procedure was or will be performed.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 10 SR 842; 13 SR 1688; 20 SR 2405
Minn. R. 9505.5076 Medical Review Agent Determination
Subpart 1. Qualified staff.
The medical review agent shall provide professional and technical expertise to conduct the second medical opinion program for medical assistance, general assistance medical care, and the MinnesotaCare programs. Unless otherwise specified in parts 9505.5035 to 9505.5105, the professional and technical expertise shall consist of persons who are physicians or who are registered nurses licensed under Minnesota Statutes, sections 148.171 to 148.285, to practice professional nursing and qualified by training and experience to review the appropriateness of surgical procedures.
Subp. 2. Medical review agent's determination upon receipt of required information.
The medical review agent must obtain and review the information required from the physician under part 9505.5075. If the medical review agent determines that the requested surgical procedure is medically appropriate, the medical review agent shall certify that the requirements of parts 9505.5035 to 9505.5105 are met and shall issue an authorization number. If the medical review agent determines that the requested surgical procedure is not medically appropriate, the medical review agent shall deny an authorization number. In either event, within 24 hours of receipt of the required information, exclusive of weekends and holidays, the medical review agent shall provide the notices required under part 9505.5082.
Subp. 3. Medical review agent unable to determine medical appropriateness.
If the medical review agent is unable to determine if a surgical procedure requiring a second opinion is medically appropriate, the medical review agent shall consult a physician adviser as specified in part 9505.5077.
Subp. 4. Retrospective review of medical record.
The medical review agent may conduct an on-site retrospective review of a recipient's inpatient hospital records on a surgical procedure to obtain information needed to make or verify a determination of medical appropriateness. If, after the review of the medical records, the medical review agent determines that the surgical procedure was not medically appropriate, the medical review agent shall deny an authorization number or, if an authorization number was issued, withdraw the authorization number. Upon completing the review, the medical review agent shall notify the physician as specified in part 9505.5082.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 20 SR 2405
Minn. R. 9505.5077 Determination by Physician Adviser
Subpart 1. Physician adviser opinion.
Upon the request of an admitting physician or the medical review agent according to part 9505.5076, subpart 3, a physician adviser shall determine if a surgical procedure requiring a second medical opinion is medically appropriate. If the physician adviser determines that the surgical procedure requiring a second opinion is medically appropriate, the medical review agent shall issue an authorization number and notify the admitting physician and the recipient of the determination. If the physician adviser determines that the surgical procedure requiring a second opinion is not medically appropriate, the medical review agent shall deny an authorization number and notify the admitting physician and the recipient according to part 9505.5082. If the physician adviser is unable to determine if the surgical procedure is medically appropriate, the medical review agent shall notify the admitting physician by telephone, and the admitting physician may request a second physician adviser's opinion. If the admitting physician does not request a second physician adviser's opinion, the medical review agent shall deny the authorization number and shall notify the admitting physician and the recipient of the denial according to part 9505.5082.
Subp. 2. Second physician adviser's opinion.
If the admitting physician requests a second physician adviser's opinion under subpart 1, the medical review agent shall contact a second physician adviser. If the second physician adviser determines that the surgical procedure requiring a second medical opinion is medically appropriate, the medical review agent shall issue an authorization number. If the second physician adviser is unable to determine if the surgical procedure is medically appropriate, or determines that the procedure is not medically appropriate, the medical review agent shall deny an authorization number and notify the recipient and the admitting physician of the denial under part 9505.5082.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 20 SR 2405
Minn. R. 9505.5078 Reconsideration
Subpart 1. Reconsideration requested by physician.
If a second physician adviser determines a surgical procedure is not medically appropriate, an admitting physician requesting the second medical opinion may request reconsideration. The admitting physician who wants reconsideration must submit a written request to the medical review agent within 30 days of the date of receipt of the notice in part 9505.5077. The request must have the recipient's name and health care program identification number, the disputed surgery, the reason for the dispute, the medical record or part of the medical record needed to make a determination of medical appropriateness, any other relevant information, and the name, address, and telephone number of the physician.
Subp. 2. Reconsideration; three physician advisers.
Upon receipt of a reconsideration requested under subpart 1, the medical review agent shall appoint at least three physician advisers who did not take part in the determination leading to a denial of an authorization number. Each physician adviser shall determine the medical appropriateness of the surgical procedure. The reconsideration decision shall be the opinion of the majority of the physician advisers. The reconsideration must be completed within 60 days of the receipt of the information required under subpart 1.
Subp. 3. Reconsideration; medical review agent.
Upon completion of the reconsideration, the medical review agent shall notify the admitting physician by telephone within 24 hours of the decision, exclusive of weekends and holidays. Additionally, the medical review agent shall send, by certified mail, the admitting physician and the recipient the written notices required under part 9505.5082 no later than ten days following the decision, exclusive of weekends and holidays. The notice to the recipient must state the right of the recipient to appeal under part 9505.5105 and Minnesota Statutes, section 256.045. If the admitting physician has already performed the surgery, the notice to the admitting physician must state the right of the admitting physician to appeal under the contested case procedure under Minnesota Statutes, chapter 14.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 20 SR 2405
Minn. R. 9505.5079 Ineligibility to Serve as Physician Adviser
A physician shall not be eligible to serve as a physician adviser if:
A. the physician is the admitting physician or the physician who will provide the surgical procedure;
B. during the previous 12 months, the physician issued treatment orders or participated in the formulation or execution of the treatment plan for the recipient for whose surgical procedure a determination of medical appropriateness is required;
C. the physician or the physician's spouse, child, grandchild, parent, or grandparent has an ownership interest of five percent or more in the hospital where the surgery was or will be performed; or
D. the physician can obtain a financial benefit from the performance of the surgical procedure on the recipient.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 20 SR 2405
Minn. R. 9505.5080 Failure to Obtain Required Opinions
Subpart 1. Opinion of medical review agent.
Failure of the physician who offers to provide a surgical procedure requiring a second opinion to obtain a required second medical opinion from the medical review agent shall result in denial of payment for all costs, direct and indirect, associated with the surgery, including costs attributable to other providers and hospitals.
Subp. 2.
[Repealed, 20 SR 2405]
Subp. 3.
[Repealed, 20 SR 2405]
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 10 SR 842; 13 SR 1688; 20 SR 2405
Minn. R. 9505.5082 Notice About Determination of Medical Appropriateness
Subpart 1. Notice approving authorization number.
If a surgical procedure requiring a second medical opinion is determined to be medically appropriate and the medical review agent issues an authorization number for the surgical procedure, the medical review agent must inform, by telephone, the physician requesting the procedure and mail the recipient and the physician a notice of the determination within 24 hours of the determination, exclusive of weekends and holidays.
Subp. 2. Notice denying authorization number.
If a surgical procedure requiring a second medical opinion is determined not to be medically appropriate or a decision about whether the surgical procedure is medically appropriate cannot be reached, the medical review agent shall deny an authorization number for the surgical procedure and notify by telephone within 24 hours of the denial the physician requesting the procedure. Additionally, the medical review agent must mail written notices as specified in items A to D within 24 hours of the denial or failure to reach a decision, exclusive of weekends and holidays.
A. A notice to a recipient must state that the recipient may appeal the denial of the service under part 9505.5105 and Minnesota Statutes, section 256.045.
B. A notice to a physician must state the reason for the denial of the authorization number. Additionally, the notice must state that, as appropriate, the physician may request the opinion of a physician adviser under part 9505.5077, subpart 1, a second physician adviser under part 9505.5077, subpart 2, or a reconsideration under part 9505.5078. The notice must also state that the admitting physician who requests the opinion of a physician adviser or a second physician adviser, as appropriate, may submit additional information to document the medical appropriateness of the surgical procedure.
C. If on reconsideration a determination is made that the surgical procedure is not medically appropriate, notice to the physician must state the reason for the denial and must state that if the surgery has already been provided, the physician may appeal the denial under the contested case procedure under Minnesota Statutes, chapter 14, unless another procedure is required by statute. The notice must also state that the physician who appeals may submit additional information to document the medical appropriateness of the surgical procedure.
D. If the medical review agent withdraws an authorization number under part 9505.5076, subpart 3, the notice must state the reason for the withdrawal and must state that the physician may request the opinion of a physician adviser under part 9505.5077.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 20 SR 2405
Minn. R. 9505.5085 Prohibition of Payment Request
A physician, hospital, or other provider who is denied payment because of failure to comply with parts 9505.5035 to 9505.5105 shall not seek payment from the recipient of the service and the recipient shall not be liable for payment for the service for which payment was denied.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 10 SR 842; 20 SR 2405
Minn. R. 9505.5090 [Repealed, 20 SR 2405]
[Repealed, 20 SR 2405]
Minn. R. 9505.5091 Penalties
The penalties for failure to comply with parts 9505.5000 to 9505.5105 shall be imposed in accordance with parts 9505.2160 to 9505.2245 in addition to parts 9505.0145, 9505.0465, and 9505.0475.
History
- Statutory Authority: MS s 256.0625; 256.991; 256D.03
- History: 10 SR 842; 13 SR 1688; 20 SR 2405
Minn. R. 9505.5095 [Repealed, 13 SR 1688]
[Repealed, 13 SR 1688]
Minn. R. 9505.5096 [Repealed, 20 SR 2405]
[Repealed, 20 SR 2405]
Minn. R. 9505.5100 [Repealed, 20 SR 2405]
[Repealed, 20 SR 2405]
Minn. R. 9505.5105 Fair Hearings and Appeals
Subpart 1. Appealable actions.
A recipient may appeal any of the following department actions:
A. the department has failed to act with reasonable promptness on a request for prior authorization as established under part 9505.5020, subpart 1, or the medical review agent has failed to act on an authorization request under the second medical opinion program, within the time specified in parts 9505.5035 to 9505.5091;
B. the department has denied a request for prior authorization under part 9505.5020, subpart 1;
C. the medical review agent has denied an authorization request under the second medical opinion program subsequent to a reconsideration conducted according to part 9505.5078; or
D. the department has proposed a reduction in service as an alternative to authorization of a proposed service for which prior authorization under part 9505.5020, subpart 1, was requested.
Subp. 2. No right to appeal.
The right to appeal shall not apply to the list of surgical procedures established according to Minnesota Statutes, section 256B.0625, subdivisions 1, 4a, and 24.
Subp. 3. Request for fair hearing.
When a recipient requests assistance from a local agency in filing an appeal with the department, the local agency shall provide the assistance.
The request for a hearing must be submitted in writing by the recipient to the appeals unit of the department. The request must be filed either:
A. within 30 days of the date notice of denial of the request for prior authorization under part 9505.5020, subpart 1, or request for authorization of a surgical procedure was received; or
B. no later than 90 days from the date notice of denial was received if the appeals referee finds there was good cause for the delay.
Subp. 4. Fair hearing.
A referee shall conduct the hearing according to Minnesota Statutes, section 256.045, subdivision 4.
Subp. 5. Commissioner's ruling.
Within 90 days of the date of receipt of the recipient's request for a hearing, the commissioner shall make a ruling to uphold, reverse, or modify the action or decision of the department or the medical review agent. The commissioner's ruling shall be binding upon the department and the recipient unless a request for judicial review is filed pursuant to Minnesota Statutes, section 256.045, subdivision 7.
History
- Statutory Authority: MS s 256.0625; 256.9352; 256.991; 256B.04; 256D.03; 256L.02
- History: 10 SR 842; L 1988 c 689 art 2 s 268; 13 SR 1688; 19 SR 2433; 20 SR 2405
Minn. R. 9505.5200 Purpose
Parts 9505.5200 to 9505.5240 establish requirements for participation by vendors and health maintenance organizations in the medical assistance program, general assistance medical care program, and MinnesotaCare as a condition of participating in other state health care programs.
History
- Statutory Authority: MS s 256B.0644
- History: 18 SR 2651
Minn. R. 9505.5210 Definitions
Subpart 1. Applicability.
For the purposes of parts 9505.5200 to 9505.5240, the terms in this part have the meanings given them.
Subp. 2. Capitation rate.
"Capitation rate" means a method of payment for health care services under which a monthly per person rate is paid on a prospective basis to a health plan.
Subp. 3. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designated representative.
Subp. 4. Department.
"Department" means the Department of Human Services.
Subp. 5. Department health care programs.
"Department health care programs" means:
A. general assistance medical care;
B. medical assistance; and
C. MinnesotaCare.
Subp. 6. Fee-for-service.
"Fee-for-service" means a method of payment for health services under which a specific amount is paid for each type of health service provided a recipient.
Subp. 7. General assistance medical care.
"General assistance medical care" has the meaning given in Minnesota Statutes, section 256D.02, subdivision 4a.
Subp. 8. Geographic area.
"Geographic area" means a portion of a county, a county, or multiple counties as designated by the commissioner for purposes of providing department health care programs through a prepaid contract.
Subp. 9. Health maintenance organization or HMO.
"Health maintenance organization" or "HMO" means an organization specified in Minnesota Statutes, section 62D.02, subdivision 4.
Subp. 10. Health plan.
"Health plan" means a health maintenance organization or other organization that contracts with the department to provide health services to recipients under a prepaid contract.
Subp. 11. Health services.
"Health services" means the goods and services eligible for payment under a department health care program.
Subp. 12. Medical assistance.
"Medical assistance" means the program authorized under title XIX of the Social Security Act and Minnesota Statutes, chapter 256B.
Subp. 13. MinnesotaCare.
"MinnesotaCare" means the program authorized under Minnesota Statutes, sections 256L.01 to 256L.12.
Subp. 14. Other state health care programs.
"Other state health care programs" means:
A. health insurance plans for state employees covered under Minnesota Statutes, section 43A.18;
B. the workers' compensation system established under Minnesota Statutes, section 176.135;
C. the public employees insurance program authorized under Minnesota Statutes, section 43A.316;
D. insurance plans provided through the Minnesota comprehensive health association under Minnesota Statutes, sections 62E.01 to 62E.16; and
E. health insurance plans offered to local statutory or home rule charter city, county, and school district employees.
Subp. 15. Prepaid contract.
"Prepaid contract" means a contract between the department and a health plan under which health services are provided recipients for a capitation rate.
Subp. 16. Provider.
"Provider" means a vendor other than a health maintenance organization that has signed an agreement approved by the department for the provision of health services to a recipient.
Subp. 17. Recipient.
"Recipient" means a person who is determined by the state or local agency to be eligible to receive health services under a department health care program.
Subp. 18. Vendor.
"Vendor" means a vendor of medical care, other than a health maintenance organization, as defined in Minnesota Statutes, section 256B.02, subdivision 7.
History
- Statutory Authority: MS s 256B.0644
- History: 18 SR 2651
Minn. R. 9505.5220 Conditions of Participation; Vendor Other Than Health Maintenance Organization
Subpart 1. Required participation.
As a condition of participating in the other state health care programs listed in part 9505.5210, subpart 14, a vendor other than a health maintenance organization must:
A. participate as a provider in the department health care programs; and
B. except as provided in subparts 3 and 4, accept on a continuous basis new patients who are recipients, and use the same acceptance criteria applied to new patients who are not recipients.
Subp. 2. Exclusion from other state health care programs.
A vendor that fails to comply with the requirements of this part is excluded from participating in other state health care programs listed in part 9505.5210, subpart 14, except as provided in items A to C.
A. In geographic areas where provider participation in department health care programs is limited by department managed care contracts, a vendor that fails to comply is not excluded from participating in insurance plans offered to local government employees.
B. A vendor who enrolls as a provider at the request of the department for the sole purpose of ensuring continuity of care for recipients who are temporarily ineligible for the vendor's health plan is not subject to the requirements of this part unless the vendor provides health services on a fee for service basis to patients not covered by department health care programs.
C. An independently owned physical therapy agency or occupational therapy agency, other than a Medicare-certified rehabilitation agency is not subject to the requirements of this part if:
Subp. 3. Limiting acceptance of recipients; 20 percent threshold.
A provider may limit acceptance of new patients who are recipients, only as provided in items A to D.
A. The provider, at least annually, shall determine annual active patient caseload. Annual active patient caseload means:
B. A provider may include, in the determination, patient encounters from all service sites enrolled under the provider's number but shall count only one patient encounter per patient per day regardless of the number of service sites involved in the patient's health care. A provider may count recipients receiving health services on a fee-for-service basis and under a prepaid contract.
C. If at least 20 percent of the provider's annual active patient case load are and continue to be recipients, the provider may refuse to accept new patients who are recipients for the remainder of the provider's fiscal year.
D. The provider shall notify the department in writing at least ten days before limiting acceptance of new patients who are recipients. The notice must include the active patient caseload data upon which the provider relied in calculating the percentage of patients who are recipients. The provider shall provide any other information required by the commissioner to verify compliance with parts 9505.5200 to 9505.5240.
Subp. 4. Waiver.
A vendor may request a waiver from the participation requirements of this part in writing from the commissioner. The commissioner shall grant a waiver for up to one year and shall include the vendor on the list of participating providers in part 9505.5240 if:
A. the vendor is a provider who is not accepting new patients, regardless of payer source; or
B. the vendor is ineligible to enroll as a provider in the department health care programs because the vendor does not provide a covered health service.
History
- Statutory Authority: MS s 256B.0644
- History: 18 SR 2651
Minn. R. 9505.5230 [Repealed, L 1996 c 451 art 5 s 39]
[Repealed, L 1996 c 451 art 5 s 39]
Minn. R. 9505.5240 Reports; Exclusion from Participation
Subpart 1. Quarterly reports to state agencies.
The commissioner shall submit quarterly reports to the commissioners of management and budget, labor and industry, and commerce identifying the providers and health maintenance organizations in compliance with parts 9505.5200 to 9505.5240. The commissioner shall submit a master report of participating providers and HMOs on April 1 of each year and shall submit subsequent quarterly amendments. The commissioner shall publish in the State Register notice of the availability of the reports. The reports must be in a format mutually agreeable to the affected agencies.
Subp. 2. Notice of noncompliance.
If the commissioner has reason to believe a participating provider or health maintenance organization is not in compliance with parts 9505.5200 to 9505.5240, the commissioner shall notify the provider or HMO in writing of the alleged noncompliance. The notice must state that the commissioners listed in subpart 1 will be notified and the provider or health maintenance organization will be excluded from participating in the other state health care programs listed in part 9505.5210, subpart 14, unless evidence of compliance is provided within 30 days.
Subp. 3. Exclusion for noncompliance.
The commissioner shall consider evidence provided in response to a notice of alleged noncompliance. Within 30 days after receiving evidence provided, the commissioner shall notify the provider or health maintenance organization whether compliance has been demonstrated. If no evidence was submitted within 30 days of the notice under subpart 2, or the commissioner determines the provider or HMO is not in compliance, the commissioner shall remove the provider or HMO from the list of participating providers and HMOs in the next subsequent quarterly report.
Subp. 4. Reinstatement.
The commissioner shall reinstate on the list of participating providers and health maintenance organizations in the quarterly report under subpart 1 an excluded provider or HMO that demonstrates compliance with parts 9505.5200 to 9505.5240.
History
- Statutory Authority: MS s 256B.0644
- History: 18 SR 2651; L 2008 c 204 s 42; L 2009 c 101 art 2 s 109
Minn. R. 9505.5300 [Repealed, L 2014 c 291 art 10 s 14]
[Repealed, L 2014 c 291 art 10 s 14]
Minn. R. 9505.5305 [Repealed, L 2014 c 291 art 10 s 14]
[Repealed, L 2014 c 291 art 10 s 14]
Minn. R. 9505.5310 [Repealed, L 2014 c 291 art 10 s 14]
[Repealed, L 2014 c 291 art 10 s 14]
Minn. R. 9505.5315 [Repealed, L 2014 c 291 art 10 s 14]
[Repealed, L 2014 c 291 art 10 s 14]
Minn. R. 9505.5325 [Repealed, L 2014 c 291 art 10 s 14]
[Repealed, L 2014 c 291 art 10 s 14]
Chapter 9506 MINNESOTACARE
Minn. R. 9506.0010 Definitions
Subpart 1. Scope.
The terms used in parts 9506.0010 to 9506.0400 have the meanings given them in this part.
Subp. 2. Applicant.
"Applicant" means a person who submits a written application to the department for a determination of eligibility for MinnesotaCare.
Subp. 3. Child.
"Child" means a person who is less than 18 years of age.
Subp. 4. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designee.
Subp. 5. Covered health services.
"Covered health services" means the services listed in Minnesota Statutes, section 256L.03, subdivisions 1 to 5.
Subp. 6. Department.
"Department" means the Department of Human Services.
Subp. 7. Dependent sibling.
"Dependent sibling" has the meaning given in Minnesota Statutes, section 256L.04, subdivision 1, paragraph (b).
Subp. 8. Eligible provider.
"Eligible provider" means a health care provider who provides covered health services to medical assistance recipients under rules established by the commissioner for that program.
Subp. 9. Employer-subsidized health coverage.
"Employer-subsidized health coverage" means health coverage for which the employer pays at least 50 percent of the cost of coverage for the employee. Employer-subsidized health coverage includes employer contributions to Internal Revenue Code, section 125 plans.
Employer-subsidized health coverage excludes dependent coverage unless the employer offers dependent coverage to employees and pays at least 50 percent of the cost of dependent coverage. Employer-subsidized health coverage for children includes coverage through either parent, including a noncustodial parent.
Subp. 10. Enrollee.
"Enrollee" means an individual who:
A. has been determined eligible by the department to receive covered health services under MinnesotaCare; and
B. has paid the required premium under part 9506.0040.
Subp. 11. Family.
"Family" means a parent or parents and their children, or guardians and their wards who are children, and dependent siblings, residing in the same household. The term includes children and dependent siblings temporarily absent from the household in settings such as schools, camps, or visitation with noncustodial parents. Family also means an emancipated minor and an emancipated minor's spouse, spouses in households without children, and single individuals in a one-person household.
Subp. 12. General assistance medical care.
"General assistance medical care" has the meaning given in Minnesota Statutes, section 256D.02, subdivision 4a.
Subp. 13. Local social service agency.
"Local social service agency" means the local agency under the authority of the county welfare or human services board or county board of commissioners that is responsible for providing human services.
Subp. 13a. Managed care health plan or health plan.
"Managed care health plan" or "health plan" means a vendor of medical care, including a county, that contracts with the department to provide covered health services to enrollees on a prepaid capitation basis. Among managed care health plans are health maintenance organizations, integrated service networks and community integrated service networks defined in Minnesota Statutes, section 62N.02, and competitive bidding programs.
Subp. 14. Medical assistance.
"Medical assistance" means the program authorized under title XIX of the Social Security Act and Minnesota Statutes, chapter 256B.
Subp. 15. MinnesotaCare.
"MinnesotaCare" means the program authorized in Minnesota Statutes, sections 256L.01 to 256L.12, to promote access to appropriate covered health services to assure healthy children and adults.
Subp. 15a. Nonrisk contract.
"Nonrisk contract" means a contract between the department and a managed care health plan under which the health plan is not responsible for the costs of inpatient hospital services for enrollees.
Subp. 16. Other health coverage.
A. "Other health coverage" means:
B. "Other health coverage" does not mean:
Subp. 17. Parent.
"Parent" means the birth, step, or adoptive mother or father of a child.
Subp. 17a. Participating provider.
"Participating provider" means a provider who is employed by or under contract with a health plan to provide health services to enrollees.
Subp. 18. Permanent residency.
"Permanent residency" has the meaning given in Minnesota Statutes, section 256L.09.
Subp. 18a. Risk contract.
"Risk contract" means a contract between the department and a managed care health plan under which the cost the health plan incurs providing inpatient hospital services may exceed the payments made by the department for inpatient hospital services under the contract.
Subp. 19. Spenddown.
"Spenddown" means the process by which a person who has income in excess of the income standard allowed under the medical assistance program becomes eligible for medical assistance as a result of incurring medical expenses that are not covered by a liable third party and that reduce the excess income to zero.
Subp. 20. Third-party payer.
"Third-party payer" means a person, entity, agency, or other health coverage that has a probable obligation to pay all or part of the costs of an enrollee's health services.
History
- Statutory Authority: MS s 256.9352; 256.9363; 256L.02; 256L.12
- History: 19 SR 1286; 20 SR 495
Minn. R. 9506.0020 Eligibility for Minnesotacare
Subpart 1. General eligibility requirements.
Except as provided in subparts 2, 3, and 5, an applicant or enrollee must:
A. be a permanent resident of Minnesota;
B. be ineligible for medical assistance without a spenddown, including medical assistance for pregnant women, except that an enrollee who receives inpatient hospital services may be eligible for medical assistance with or without a spenddown during the months of hospitalization;
C. not simultaneously be covered by general assistance medical care and MinnesotaCare;
D. not currently have other health coverage nor have had other health coverage during the four months immediately preceding the date coverage begins;
E. not have access to employer-subsidized health coverage during the 18 months immediately preceding the date coverage begins;
F. identify potentially liable third-party payers and assist the department in obtaining third-party payments;
G. have gross annual income that does not exceed the amounts in Minnesota Statutes, section 256L.15, subdivision 2; and
H. comply with the family enrollment requirements in subpart 4.
Subp. 2. Exceptions to general eligibility requirements.
A. Subpart 1, items D and E, do not apply to an applicant who is terminated from medical assistance, general assistance medical care, or coverage under a regional demonstration project for the uninsured funded under Minnesota Statutes, section 256.73, the Hennepin County assured care program, or the Group Health, Inc., community health plan if the department receives a MinnesotaCare application before the last day of the month following the month in which termination occurred.
B. Subpart 1, item E, does not apply under the following circumstances:
Subp. 3. Children in families with income at or below 150 percent of the federal poverty guidelines.
A child in a family with income at or below 150 percent of the federal poverty guidelines is eligible for MinnesotaCare from the first day of the month in which the child's first birthday occurs to the last day of the month in which the child becomes 18 years old if the child:
A. meets the requirements under subpart 1, items A to C and F to H; and
B. is not otherwise insured for the covered health services. A child is not otherwise insured for covered health services when subitem (1), (2), or (3) applies:
Subp. 4. Family enrollment.
Families must comply with items A to F.
A. Parents who enroll must enroll all eligible children and dependent siblings.
B. Children and dependent siblings may be enrolled without parents enrolling, unless other insurance is available.
C. If one parent in a household enrolls, both parents in the household must enroll, unless other insurance is available.
D. If one child in a family is enrolled, all children in the family must be enrolled, unless other insurance is available.
E. If one spouse in a household is enrolled, the other spouse in the household must enroll, unless other insurance is available.
F. Except as provided in item B, families cannot enroll only certain uninsured members.
Subp. 5. Continuous eligibility.
An enrollee remains eligible for MinnesotaCare regardless of age or the presence or absence of children in the household as long as the enrollee:
A. maintains permanent residency in Minnesota;
B. meets all other eligibility criteria, except subpart 1, item G;
C. pays the full cost of coverage if gross annual family income after initial enrollment exceeds the limits in Minnesota Statutes, section 256L.15, subdivision 2; and
D. is continuously enrolled in MinnesotaCare or medical assistance. To be continuously enrolled, an enrollee's reapplication must be received by the department before the last day of the first calendar month following the date of notice of termination of coverage from MinnesotaCare or medical assistance.
Subp. 6. Annual redetermination required.
The commissioner shall annually redetermine continued MinnesotaCare eligibility for each enrollee.
Subp. 7. Enrollee cooperation with annual redetermination.
Enrollees must annually provide the information needed to redetermine eligibility before the anniversary date of initial eligibility. The anniversary date of initial eligibility is the yearly recurrence of the first day of the month following the date of enrollment in MinnesotaCare.
History
- Statutory Authority: MS s 256.9352; 256L.02
- History: 19 SR 1286; L 1998 c 265 s 45; L 1998 c 407 art 5 s 47
Minn. R. 9506.0030 Application; Enrollment; Coverage
Subpart 1. Application sources.
Applicants may apply directly to the commissioner or through appropriate referral sources.
A. Appropriate referral sources include but are not limited to: eligible provider offices; local social service agencies; school district offices; public and private elementary schools in which 25 percent or more of the students receive free or reduced price lunches; community health offices defined in Minnesota Statutes, section 145A.02; WIC program sites under United States Code, title 42, section 1786.
B. Referral sources that accept applications from applicants must send applications to the department within five working days after receipt.
Subp. 2. Necessary information for eligibility determination.
A. Applicants must provide all information necessary to determine eligibility for MinnesotaCare and potential eligibility for medical assistance, including:
B. If the commissioner determines an applicant may be ineligible for MinnesotaCare because employer-subsidized coverage was lost for reasons that would disqualify the applicant from receiving reemployment benefits under Minnesota Statutes, section 268.095, the commissioner shall refer the applicant to the Department of Employment and Economic Development for a determination whether the applicant would have been disqualified.
Subp. 3. Eligibility determination deadline.
Except during the four months after the dates on which adult individuals and families without children become eligible for MinnesotaCare, the commissioner shall determine an applicant's eligibility within 30 days after a complete application is received by the department.
Subp. 4. Enrollment and beginning of coverage.
The date of enrollment and the date coverage begins are determined as follows:
A. An applicant is enrolled in MinnesotaCare on the date the following are completed:
B. Coverage begins the first day of the calendar month following the date of enrollment, except:
History
- Statutory Authority: MS s 256.9352; 256L.02
- History: 19 SR 1286; L 1998 c 265 s 45; L 2005 c 112 art 2 s 41
Minn. R. 9506.0040 Premium Payments
Subpart 1. Premium payments.
Applicants and enrollees must pay a premium to enroll and to continue enrollment in MinnesotaCare. The amount of premium is the total of the following:
A. $4 per month for each child in a family whose family income is at or below 150 percent of federal poverty guidelines; and
B. for any family member not included under item A, a premium calculated under Minnesota Statutes, section 256L.15. A premium payment table and an explanation of the table is available upon request from the department.
Subp. 2. Gross annual family income.
"Gross annual family income" means the total income of all family members determined according to items A to C:
A. the income of self-employed persons, as defined in Minnesota Statutes, section 256L.01, subdivision 4;
B. the income of wage earners, including all wages, salaries, commissions, and other benefits received as monetary compensation from employers before any deduction, disregard, or exclusion, calculated by determining:
C. the following unearned income received in the four calendar months immediately preceding the month of application, multiplied by three to reflect a 12-month period:
Subp. 3. Premiums paid monthly, quarterly, or annually.
Applicants and enrollees may choose to pay premiums on a monthly, quarterly, or annual basis and may change payment schedules at the time a premium is due.
Subp. 4. Billing notices.
The department shall mail premium payment billing notices as follows:
A. for monthly premiums, by the first day of the month preceding the month for which coverage will be provided;
B. for quarterly premiums, by the first day of the month preceding the first month of the quarter for which coverage will be provided; and
C. for annual premiums, by the first day of the month preceding the first month of the year for which coverage will be provided.
Subp. 5. Premium payment dates.
Premium payments are due as follows:
A. An initial premium must be received by the department within four months after the date on the applicant's first premium notice.
B. Subsequent premiums must be received by the department as follows:
Subp. 6. Disenrollment.
The commissioner shall disenroll enrollees who fail to pay the required premium when due. MinnesotaCare coverage terminates the last day of the calendar month following the due date specified in subpart 5 unless the premium is received by noon of the last business day of the calendar month following the due date.
Subp. 7. Reenrollment.
An enrollee disenrolled for failure to pay the required premium may reenroll as provided in items A to D.
A. The enrollee:
B. Good cause for nonpayment does not exist if a person chooses to pay other family expenses instead of the MinnesotaCare premium.
C. Good cause for nonpayment means, generally, circumstances beyond an enrollee's control or that were not reasonably foreseeable that excuse an enrollee's failure to pay the required premium when due, including circumstances such as:
D. The commissioner shall determine whether good cause exists based on the weight of the supporting evidence submitted by the person to demonstrate good cause.
Subp. 8. Premium payment adjustments.
The commissioner shall adjust enrollees' premium payments upon receipt of the audit information required under part 9506.0060, subparts 1 and 2. Adjustments to premium payments are effective on the first day of the month following issuance of an adjusted premium invoice.
History
- Statutory Authority: MS s 256.9352; 256L.02
- History: 19 SR 1286; L 1998 c 407 art 5 s 47
Minn. R. 9506.0050 Coordination of Minnesotacare and Medical Assistance
Subpart 1. Referral of applicants and enrollees potentially eligible for medical assistance to local social service agency.
The commissioner shall refer applicants and enrollees who are potentially eligible for medical assistance without a spend-down to the local social service agency. The commissioner shall determine potential eligibility by considering:
A. age;
B. household income or assets;
C. pregnancy;
D. illness, injury, or incapacity indicating a disability;
E. household composition; and
F. employment status of household members.
Subp. 2. Enrollment of applicants and enrollees potentially eligible for medical assistance.
A. If an applicant who is potentially eligible for medical assistance without a spenddown meets the other conditions of eligibility for MinnesotaCare, the commissioner shall enroll the applicant in MinnesotaCare upon receipt of the initial premium payment.
B. An applicant or enrollee who is potentially eligible for medical assistance without a spenddown may continue to be covered by MinnesotaCare until determined eligible for medical assistance, provided:
C. An applicant who is determined eligible for medical assistance without a spenddown may be eligible for a refund of the applicant's MinnesotaCare premium payments, depending on family size.
Subp. 3. Coordination of coverage for hospital inpatient services under MinnesotaCare and medical assistance.
Coverage for inpatient hospital services for enrollees shall be coordinated between MinnesotaCare and medical assistance as provided in this subpart.
A. The commissioner shall notify enrollees who have received inpatient hospital services and who are determined to have a basis of eligibility for medical assistance, in writing, that an application for medical assistance must be completed.
B. By the last day of the third month following the inpatient hospital admission, an enrollee who has received written notice under item A must apply for medical assistance and must cooperate with the local social service agency in determining eligibility for medical assistance.
C. If an enrollee is determined eligible for medical assistance with a spenddown:
D. An enrollee who is not eligible for medical assistance may:
Subp. 4. Disenrollment.
A. The commissioner shall disenroll an enrollee and the enrollee's family when the enrollee fails to apply for medical assistance or cooperate with determining eligibility, as required under subparts 2 and 3. MinnesotaCare coverage terminates the last day of the calendar month following the month in which the medical assistance application was due.
B. An enrollee, and the enrollee's family, if disenrolled for failure to comply with subpart 2, may reenroll after cooperating with the medical assistance eligibility determination and being determined ineligible for medical assistance without a spenddown.
C. An enrollee, and the enrollee's family, if disenrolled for refusal to comply with subpart 3, item B, may not reenroll.
D. The commissioner shall disenroll an enrollee who is determined eligible for medical assistance without a spend-down. MinnesotaCare coverage terminates the last day of the calendar month in which the department receives notice of the enrollee's medical assistance eligibility.
Subp. 5. Continuing health plan participation.
An enrollee in a managed care health plan who becomes eligible for medical assistance or general assistance medical care shall remain in that health plan if the health plan has a contract with the department to provide health services in that geographic area to recipients of medical assistance or general assistance medical care.
History
- Statutory Authority: MS s 256.9352; 256.9363; 256L.02; 256L.12
- History: 19 SR 1286; 20 SR 495
Minn. R. 9506.0060 Quality Control
Subpart 1. Changes.
Enrollees must report to the department any changes in the following:
A. address;
B. household composition;
C. employment status;
D. a change of more than $50 per month of gross income;
E. availability of other health coverage;
F. onset of disability or change in disability; or
G. anticipation of legal action to collect money for an accident or an injury, or benefits available due to an accident or injury.
Subp. 2. Random audits.
The commissioner shall perform audits of randomly selected enrollees to verify enrollees' gross annual family income and MinnesotaCare eligibility. Enrollees being audited must provide additional income and eligibility information, including:
A. federal income tax returns;
B. federal W2 forms;
C. employment check stubs;
D. family composition;
E. residency;
F. length of time without health insurance;
G. access to employer-subsidized coverage; and
H. any additional information necessary to determine income and eligibility.
Subp. 3. Disenrollment.
The commissioner shall disenroll enrollees who refuse to provide information required under subparts 1 and 2. MinnesotaCare coverage will terminate the last day of the calendar month in which notice of cancellation is sent. Persons may reenroll after complying with this part and being determined eligible for MinnesotaCare.
History
- Statutory Authority: MS s 256.9352; 256L.02
- History: 19 SR 1286
Minn. R. 9506.0070 Appeals
Subpart 1. Notice.
The commissioner shall follow the notification procedures in chapter 9505 and Minnesota Statutes, chapter 256B, if the commissioner denies, suspends, reduces, or terminates MinnesotaCare eligibility or covered health services. The commissioner shall mail the person a written notice that describes the action, the reason for the action, and the person's right to appeal the action according to Minnesota Statutes, section 256.045.
Subp. 2. Appeal process.
An applicant or enrollee aggrieved by a determination or action of the commissioner may appeal the determination or action according to Minnesota Statutes, section 256.045. An applicant or enrollee must submit a written request for a hearing to the department within 30 days after receipt of the written notice of the determination or action, except that a person has 90 days to submit a written request upon showing good cause why the request was not submitted within 30 days.
Subp. 3. Health plan complaint and appeal procedure.
An enrollee participating in a managed care health plan may utilize the health plan's internal complaint procedure but is not required to exhaust the internal complaint procedure before appealing to the commissioner. The appeal rights and procedures in part 9500.1463 apply to health plan enrollees.
History
- Statutory Authority: MS s 256.9352; 256.9363; 256L.02; 256L.12
- History: 19 SR 1286; 20 SR 495
Minn. R. 9506.0080 Covered Health Services
Subpart 1. Covered health services.
Health services covered by MinnesotaCare include the services listed in Minnesota Statutes, section 256L.03.
Subp. 2. Inpatient hospital services.
A. Enrollees are covered for medically necessary inpatient hospital services including acute care services, mental health services, and chemical dependency services.
B. MinnesotaCare benefits for inpatient hospital services for adult enrollees are limited to $10,000 per calendar year. No benefit limit for inpatient hospital services applies to children.
C. To be reimbursed under MinnesotaCare for inpatient hospital services provided to enrollees, eligible providers must comply with:
Subp. 3. Hospital admission certification.
Inpatient hospital admissions of enrollees, including admission of a pregnant woman that results in the delivery of a newborn or a stillbirth or an admission where the principal diagnosis or procedure is an inpatient dental procedure, must be certified in accordance with the medical assistance certification criteria in parts 9505.0501 to 9505.0540, except for admissions:
A. approved under Medicare; or
B. authorized under parts 9530.6600 to 9530.6655.
Subp. 4. Cost avoidance.
The commissioner shall use cost avoidance techniques to ensure benefit coordination for enrollees, including items A to C.
A. MinnesotaCare coverage for covered health services is secondary to other health coverage for which enrollees are eligible, except for coverage under the behavioral health fund.
B. Coverage by all potential third-party payers must be exhausted before MinnesotaCare payment for covered health services will be made. An eligible provider must attempt to collect payment from potential third-party payers before billing the department for a covered health service.
C. Private accident and health care coverage must be used according to the rules of the specific health plan. MinnesotaCare shall not pay for services that would have been covered by the primary health coverage if the applicable rules of that health coverage had been followed.
Subp. 5. Lien.
When the department provides, pays for, or becomes liable for covered health services, the department has a lien for the cost of care upon any and all causes of action accruing to the enrollee, or to the enrollee's legal representatives, as a result of the occurrence necessitating payment for covered health services. All liens under this subpart are governed by Minnesota Statutes, section 256.015.
History
- Statutory Authority: MS s 256.9352; 256L.02
- History: 19 SR 1286
Minn. R. 9506.0090 Copayments and Eligible Provider Reimbursement
Subpart 1. Copayments required.
Adult enrollees must pay eligible providers and managed care health plans or participating providers the copayments required under Minnesota Statutes, sections 256L.03, subdivision 5, and 256L.12, subdivision 6. Adult enrollees who are not eligible for medical assistance must pay inpatient hospital charges above the annual MinnesotaCare benefit limit to the hospital that provided the inpatient hospital services.
Subp. 2. Reimbursement for covered health services.
Covered health services are reimbursed at the same rate and subject to the same conditions established for medical assistance, except:
A. federally qualified health centers, rural health clinics, and Indian health facility services are reimbursed as provided in Minnesota Statutes, section 256L.11, subdivision 2;
B. inpatient hospital services are reimbursed as provided in Minnesota Statutes, section 256L.11, subdivisions 3 and 4; and
C. managed care health plans are paid as provided in part 9506.0300.
Subp. 3. Copayments not paid.
The commissioner shall reimburse an eligible provider at the full medical assistance rate minus any applicable copayments regardless of whether the eligible provider collects copayments from enrollees who are ineligible for medical assistance.
Subp. 4. Commissioner's access to enrollee medical records.
Eligible providers and managed care health plans or participating providers must provide the commissioner access to enrollees' personal medical records to monitor compliance with parts 9506.0010 to 9506.0400 and to identify fraud, theft, or abuse.
History
- Statutory Authority: MS s 256.9352; 256.9363; 256L.02; 256L.12
- History: 19 SR 1286; 20 SR 495; L 2013 c 108 art 1 s 67
Minn. R. 9506.0100 Surveillance and Utilization Review
Parts 9505.2160 to 9505.2245 apply to the MinnesotaCare program.
History
- Statutory Authority: MS s 256.9352; 256L.02
- History: 19 SR 1286
Minn. R. 9506.0200 Prepaid Minnesotacare Program; General
Subpart 1. Designation of geographic area.
The commissioner shall designate geographic areas in which enrollees must receive covered health services through a managed care health plan.
A. In designating geographic areas, the commissioner shall consider area size, size of the population to be served, accessibility of health services, the availability of health plans, and any other factors necessary to provide the most economical care consistent with high medical standards.
B. The commissioner shall implement either a multiple health plan model or a single health plan model in a designated geographic area.
C. The commissioner may limit the number of health plans with which the department contracts within a designated geographic area, taking into consideration:
Subp. 2. Contracts.
Contracts between the department and a health plan to provide covered services to enrollees must:
A. require the health plan to serve medical assistance recipients and general assistance medical care recipients;
B. comply with the requirements of United States Code, title 42, section 1396a(a)(23)(B), prohibiting the health plan from restricting enrollee access to family planning services, and Minnesota Statutes, section 62Q.14; and
C. permit the commissioner to terminate the contract upon 90 days notice to the health plan.
Subp. 3. Multiple health plan model areas.
After the department has executed contracts with health plans to provide covered health services in a multiple health plan model area, the department or an entity under contract with the department shall:
A. inform applicants and enrollees, in writing, of available health plans, when written notice of health plan selection must be submitted to the department, and when health plan participation begins;
B. randomly assign to a health plan enrollees who fail to notify the department in writing of their health plan choice; and
C. notify enrollees, in writing, of their assigned health plan before the effective date of the enrollee's health plan participation.
Subp. 4. Single health plan model areas.
After the department has executed a contract with a health plan to provide covered health services as the sole health plan in a geographic area:
A. the department shall assure that applicants and enrollees are informed, in writing, of participating providers in the health plan and when health plan participation begins;
B. the health plan may require the enrollee to select a primary care provider and may assign to a primary care provider enrollees who fail to notify the health plan of their selection; and
C. the health plan shall notify enrollees, in writing, of their assigned providers before the effective date of health plan participation.
Subp. 5. Changing health plans or primary care providers.
A. In multiple health plan model areas, enrollees may change health plans once within the first year the enrollee participates in a health plan. After the first year of health plan participation, enrollees may change health plans during the annual 30-day open enrollment period. The department or entity under contract with the department shall notify enrollees when the annual open enrollment period will occur.
B. In single health plan model areas, enrollees may change primary care providers at least once during the first year of health plan participation. After the first year of health plan participation, enrollees may change primary care providers at least annually. The health plan shall notify enrollees of this change option.
C. If a health plan's contract with the department is terminated for any reason, enrollees in that health plan shall select a new health plan and may change health plans or primary care providers within the first 60 days of participation in the second health plan.
D. Enrollees may change health plans or primary care providers for cause as determined through an appeal under part 9506.0070 and as provided in subitems (1) and (2).
Subp. 6. Family participation in a health plan.
All family members enrolled in MinnesotaCare must receive health services from the same health plan.
History
- Statutory Authority: MS s 256.9352; 256.9363; 256L.02; 256L.12
- History: 20 SR 495
Minn. R. 9506.0300 Health Plan Services; Payment
Subpart 1. Covered services; additional health services.
Except as provided in subparts 2 and 3, a health plan must provide and pay for all covered health services listed in Minnesota Statutes, section 256L.03. A health plan may offer enrollees additional health services that are not covered by MinnesotaCare.
Subp. 2. Payment for inpatient hospital services.
The commissioner may contract with a health plan for inpatient hospital services for enrollees on either a risk or a nonrisk basis.
A. If the commissioner contracts with a health plan for inpatient hospital services on a nonrisk basis:
B. If the commissioner contracts with a health plan for inpatient hospital services on a risk basis:
Subp. 3. Payment for out-of-plan services.
A. A health plan is not liable for payment for health services provided enrollees by providers not participating in the health plan, except, a health plan must pay for:
B. The department is not liable to nonparticipating providers for payment for health services.
Subp. 4. Enrollee costs.
Except for copayments required under Minnesota Statutes, section 256L.03, subdivision 5, and inpatient hospital charges that exceed the MinnesotaCare benefit limit, enrollees are not liable for any costs for covered services or for authorized out-of-plan services.
Subp. 5. Payment to health plans.
A. Payments to health plans for covered health services for enrollees shall be prospective, per capita payments, made on an actuarially sound basis as determined by the commissioner; except, the commissioner may allow health plans to arrange for inpatient hospital services on a risk or nonrisk basis as provided in subpart 2.
B. By the tenth day of each month, the commissioner shall prepay the health plan the capitation rate specified in the contract.
C. The department shall make payment rates and contracts with health plans available to the public upon request.
History
- Statutory Authority: MS s 256.9352; 256.9363; 256L.02; 256L.12
- History: 20 SR 495
Minn. R. 9506.0400 Other Managed Care Health Plan Obligations
Subpart 1. Financial accountability.
A health plan is accountable to the commissioner for the fiscal management of covered health services. The state of Minnesota and enrollees shall be held harmless for the payment of obligations incurred by a health plan if the health plan or a participating provider becomes insolvent and the department has made the payments due the health plan under the contract.
Subp. 2. Educational materials.
A. A health plan shall provide the commissioner copies of educational materials explaining covered health services for distribution to applicants and enrollees as specified in the contract. A health plan shall not distribute any materials designed to solicit health plan participation without prior approval from the department.
B. A health plan shall provide each enrollee a certificate of coverage approved by the commissioner, a health plan identification card, a list of participating providers, and a description of the health plan complaint and appeal procedure. All written information provided enrollees must be understandable to a person reading at the seventh grade level, using the Flesch scale analysis readability score as determined under Minnesota Statutes, section 72C.09.
Subp. 3. Case management.
A health plan shall have available a system of case management in which an individual enrollee's medical needs may be assessed to determine the appropriate plan of care. A plan of care must be developed, implemented, evaluated, monitored, revised, and coordinated with other health care providers as appropriate and necessary.
Subp. 4. Submission of information.
The health plan contract must specify the information that the health plan shall submit to the commissioner, and to the Centers for Medicare and Medicaid Services when applicable, the form of submission, and when the information must be available to the commissioner. If the commissioner requires additional information, the health plan shall provide the additional information within 30 days after receiving the commissioner's written request.
Subp. 5. Quality assurance.
A. A health plan shall have an internal quality assurance system that provides ongoing review of:
B. A health plan shall develop a corrective action plan based on the results of case reviews and shall monitor the effectiveness of its corrective actions.
C. A health plan shall permit the commissioner or the commissioner's agents to evaluate the quality, appropriateness, and timeliness of covered health services through inspections, site visits, and review of medical records.
D. The commissioner shall notify a health plan, in writing, if the commissioner finds a deficiency in the quality of health services offered enrollees. If the health plan fails to correct the deficiency within 60 days after receiving the written notice, the commissioner may withhold all or part of the capitation premium payments until the deficiency is corrected to the satisfaction of the commissioner.
Subp. 6. Third-party liability.
To the extent required under part 9506.0080 and Minnesota Statutes, section 62A.046, a health plan shall coordinate benefits for or recover the cost of health services provided enrollees who have other health coverage. Coordination of benefits by a health plan includes paying applicable copayments or deductibles on behalf of an enrollee.
Subp. 7. Enrollee acceptance.
A health plan shall accept all enrollees who choose or are assigned to the health plan by the department, regardless of an enrollee's health status or previous utilization of health services.
Subp. 8. Financial capacity.
A health plan shall demonstrate that its financial risk capacity is acceptable to its participating providers; except, a health plan licensed as a health maintenance organization or a nonprofit health plan, under Minnesota Statutes, chapters 62C and 62D, or a community integrated service network under Minnesota Statutes, chapter 62N, is not required to demonstrate financial risk capacity beyond the requirements in those chapters for licensure or a certificate of authority.
Subp. 9. Chemical dependency assessments.
A health plan shall assess the need for chemical dependency services and placement according to the criteria in parts 9530.6600 to 9530.6655.
Subp. 10. Immunization.
A health plan shall collaborate with the local public health agencies to ensure immunization of children who are enrollees and must provide a recommended immunization schedule to families with children.
Subp. 11. Second medical opinion.
A health plan must include in its certificate of coverage information about enrollees' right to a second medical opinion according to items A to C.
A. Upon enrollee request, the health plan shall provide at health plan expense a second medical opinion by a participating provider within the health plan.
B. The health plan shall comply with Minnesota Statutes, section 62D.103, and shall provide at health plan expense a second medical opinion by a qualified nonparticipating provider when the health plan determines that an enrollee's chemical dependency or mental health problem does not require structured treatment.
C. The health plan shall provide at health plan expense a second medical opinion when ordered to do so by a state human services referee under Minnesota Statutes, section 256.045.
Subp. 12. Data privacy.
The contract between the commissioner and the health plan must specify that the health plan is an agent of the welfare system and shall have access to welfare data on enrollees to the extent necessary to carry out the health plan's responsibilities under the contract. The health plan shall comply with Minnesota Statutes, chapter 13, the Minnesota Government Data Practices Act, and applicable federal privacy law.
Subp. 13. Complaint and appeal procedure.
Part 9500.1463, which establishes complaint and appeal procedures, applies to health plans and enrollees.
Subp. 14. Contract termination.
If the commissioner or a health plan terminates a contract, the health plan must notify its enrollees at least 60 days before the termination date, in writing, that the contract will terminate.
History
- Statutory Authority: MS s 256.9352; 256.9363; 256L.02; 256L.12
- History: 20 SR 495; L 1997 c 225 art 2 s 62; L 2002 c 277 s 32
Chapter 9510 RATES FOR HEALTH CARE FACILITIES
Minn. R. 9510.0010 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0020 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0030 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0040 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0050 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0060 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0070 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0080 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0090 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0100 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0110 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0120 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0130 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0140 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0150 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0160 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0170 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0180 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0190 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0200 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0210 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0220 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0230 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0240 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0250 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0260 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0270 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0280 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0290 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0300 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0310 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0320 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0330 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0340 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0350 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0360 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0370 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0380 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0390 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0400 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0410 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0420 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0430 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0440 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0450 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0460 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0470 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0480 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0500 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0510 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0520 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0530 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0540 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0550 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0560 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0570 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0580 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0590 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0600 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0610 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0620 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0630 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0640 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0650 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0660 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0670 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0680 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0690 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0700 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0710 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0720 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0730 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0740 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0750 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0760 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0770 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0780 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0790 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0800 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0810 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0820 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0830 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0840 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0850 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0860 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0870 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0880 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.0890 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.1000 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.1010 [Repealed, 23 SR 1597]
[Repealed, 23 SR 1597]
Minn. R. 9510.1020 Definitions
Subpart 1. Scope.
The terms used in parts 9510.1020 to 9510.1140 have the meanings given them in this part.
Subp. 2. Case manager.
"Case manager" has the meaning given it in part 9525.0004, subpart 4.
Subp. 3. Client.
"Client" means a person who is receiving training and habilitation services or intermediate care facility for the developmentally disabled services funded under the medical assistance program.
Subp. 4. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or a designated representative.
Subp. 5. County.
"County" means the county board of commissioners for the county which provides case management services to the client or the county board of commissioners' designated representative.
Subp. 6. Degenerative disease.
"Degenerative disease" means a category of neurological impairment such as Hurler's syndrome, tuberous sclerosis, Alzheimer's disease, or Huntington's chorea with a disorganization of motor function or chronic brain syndrome.
Subp. 7. Employee benefits.
"Employee benefits" means compensation actually paid to or for the benefit of the employees other than salary. Employee benefits include group health or dental insurance, group life insurance, pensions or profit sharing plans, governmentally required retirement plans, sick leave, vacations, and in kind benefits. Employee benefits do not include payroll-related costs.
Subp. 8. Equipment.
"Equipment" means aids designed to increase a client's ability to live and function independently which are purchased for the client, remain the property of the client and can be moved with the client upon discharge.
Subp. 9. Intermediate care facility for the developmentally disabled or ICF/DD.
"Intermediate care facility for the developmentally disabled" or "ICF/DD" means a program licensed to serve residents with developmental disabilities under Minnesota Statutes, section 252.28, and a physical plant licensed as a supervised living facility under Minnesota Statutes, chapter 144, which together are certified by the Minnesota Department of Health as an intermediate care facility for the developmentally disabled.
Subp. 10. Medical review team.
"Medical review team" means a group of physicians and social workers who are under contract with the Department of Human Services to review a medical and social history for the purpose of determining a person's disability within the scope of the regulations of the Social Security Administration.
Subp. 11. Provider.
"Provider" means the person or entity operating a licensed training and habilitation service or an ICF/DD.
Subp. 12. Payroll-related costs.
"Payroll-related costs" means the employer's share of social security withholding taxes, workers' compensation insurance or actual cost if self insured, and state and federal unemployment compensation taxes or costs.
Subp. 13. Special needs rate exception payment.
"Special needs rate exception payment" means a payment established under parts 9510.1020 to 9510.1140.
Subp. 14. Staff intervention.
"Staff intervention" means the direct client care provided by program personnel or outside program consultants, or the training of direct care program personnel by outside program consultants for the purpose of addressing the client's needs as identified in the special needs rate exception application.
Subp. 15. Regional treatment center.
"Regional treatment center" means an ICF/DD or nursing home owned and operated by the state of Minnesota.
Subp. 16. Training and habilitation services.
"Training and habilitation services" means health and social services provided under Minnesota Statutes, sections 252.40 to 252.46. For purposes of parts 9510.1020 to 9510.1140, training and habilitation services do not include training and habilitation services provided as a waivered service as defined in Minnesota Statutes, section 256B.501, subdivision 1, and parts 9525.1800 to 9525.1930.
History
- Statutory Authority: MS s 252.46; 256B.092; 256B.501
- History: 10 SR 922; 12 SR 1148; 14 SR 2354; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9510.1030 Applicability and Purpose
Subpart 1. Applicability.
Parts 9510.1020 to 9510.1140 establish procedures for counties and providers to follow to seek authorization for a special needs rate exception for very dependent persons with special needs and establish procedures for determining the special needs rate exception payments for training and habilitation services and for intermediate care facilities for the developmentally disabled. Parts 9510.1020 to 9510.1140 do not apply to persons with developmental disabilities who reside in a regional treatment center.
Subp. 2. Purpose.
The purpose of the special needs rate exception is to provide to a specific client those staff interventions or equipment whose costs are not included in the per diem rate of the intermediate care facility for the developmentally disabled or the per diem rate of the training and habilitation service. The special needs rate exception payment is intended to fund short-term special needs for a specific client in order to prevent the placement or retention of the client in a regional treatment center. The special needs rate exception is only to be allowed after all other funding sources or alternatives have been exhausted.
History
- Statutory Authority: MS s 252.46; 256B.501
- History: 10 SR 922; 12 SR 1148; 14 SR 2354; L 2005 c 56 s 2
Minn. R. 9510.1040 Application to Be Completed by Provider
Subpart 1. Application.
The provider shall apply to the county for a special needs rate exception to cover the cost of a staff intervention or piece of equipment necessary to serve clients eligible under part 9510.1050, subpart 2. A separate application must be completed for each client unless the staff intervention or equipment is shared by the clients identified. If more than one client is included in the application, client information must be submitted for each client. The application must include the information in subparts 2 to 4.
Subp. 2. Information about client's needs and methods used to address needs.
The provider shall:
A. identify the client including:
B. describe the client's special need or needs which put the client at risk of regional treatment center placement or continued regional treatment center placement;
C. describe the proposed staff intervention including:
D. describe the equipment needed and the plan for use of the equipment by the client;
E. identify the total cost and the unit cost of the equipment or the staff intervention;
F. describe the modifications needed to integrate the equipment and staff intervention into the client's individual program plan;
G. describe the projected behavioral outcomes of the staff intervention or the use of the equipment and when the outcomes will be achieved;
H. describe how the client's progress toward the behavioral outcomes in item G will be measured and monitored by the provider; and
I. describe the degree of family involvement with the client.
Subp. 3. Information about provider.
The provider shall submit:
A. information identifying the provider including:
B. an explanation of the efforts used to meet the client's needs within the provider's current per diem rate, including:
Subp. 4. Supporting documentation.
The provider shall submit with the application the following:
A. A copy of the individual program plan including the measurable behavioral outcomes which are anticipated to be achieved by the client as a result of the proposed staff intervention or the equipment.
B. Documentation of the provider's historical costs on which the current per diem rate is based. An ICF/DD provider shall submit a copy of the most recent rate determination letter. A training and habilitation service program shall submit a copy of its current budget, year-to-date expenses, and current assets.
C. Work papers showing the method used to determine the cost of the staff intervention and equipment identified in subpart 2, item E, including the hourly wage of staff who will implement the intervention, the unit cost of consultation or training services, and the unit cost of equipment requested.
D. Documentation that any equipment requested in the application is not available from the Department of Vocational Rehabilitation or covered under parts 9505.0170 to 9505.0475.
E. Documentation that any consultant services requested in the application are not services covered under parts 9505.0170 to 9505.0475.
F. The name and address of any vendor or contractor to be reimbursed by the special needs rate exception and the name of the person or persons who will actually provide the equipment or services if known.
G. A plan to decrease the client's reliance on the proposed staff intervention.
History
- Statutory Authority: MS s 252.46; 256B.501
- History: 10 SR 922; 14 SR 2354; L 2005 c 56 s 2
Minn. R. 9510.1050 County Review of Provider's Application
Subpart 1. Criteria.
The county shall determine if the provider submitting the application and the client or clients identified in the application meet the criteria in subparts 2 to 5. The county shall submit to the commissioner the applications which meet the criteria in subparts 2 to 5.
Subp. 2. Client eligibility.
A client shall be eligible for a special needs rate exception if the client meets the criteria in items A to D:
A. the client is eligible for medical assistance under Minnesota Statutes, chapter 256B;
B. the client is a resident of an ICF/DD;
C. the client is a person as defined in part 9525.0004, subpart 19, and has at least one of the following characteristics:
D. the client is at risk of placement in a regional treatment center within 60 days or of remaining in a regional treatment center, unless additional resources are provided through parts 9510.1020 to 9510.1140 due to:
Subp. 3. General provider eligibility.
A provider shall be eligible for a special needs rate exception if the provider meets the following criteria:
A. The existing program or services offered by the provider cannot be modified to meet the client's needs within the provider's approved per diem rates.
B. The provider's historical cost per diem does not include the historical cost of providing the same or similar clients with the same or similar staff interventions.
C. The provider is willing to serve or continue to serve a client who is eligible for a special needs rate under subpart 2 if the special needs rate exception is approved.
Subp. 4. Availability of other resources.
The provider shall be eligible for a special needs rate exception only if the county determines that:
A. There are no other existing resources or services covered under parts 9505.0170 to 9505.0475 available to meet the client's needs.
B. There are no other appropriate ICFs/DD, training and habilitation services, or other services located within a reasonable distance available to meet the person's needs within their current rates. To determine if another ICF/DD, training and habilitation service, or other service is appropriate for the client, the case manager shall:
Subp. 5. Evaluation of staff intervention and equipment purchases.
The county shall review the information submitted in accordance with part 9510.1040 to determine if:
A. the proposed staff intervention and equipment are allowable for purposes of reimbursement under parts 9510.1020 to 9510.1140;
B. all proposed services and service providers comply with applicable professional and program licensure standards;
C. the proposed staff intervention and equipment purchases meet the identified client needs; and
D. the provider has included a plan to decrease the client's reliance on the proposed staff intervention which shall ensure integration of the client into the existing program when the special needs rate exception terminates.
History
- Statutory Authority: MS s 252.46; 256B.092; 256B.501
- History: 10 SR 922; 12 SR 1148; 14 SR 2354; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9510.1060 County Approval Process
Subpart 1. Time period.
The county shall approve or deny applications within ten working days of the date the complete application was received from the provider. Approval or denial shall be made in accordance with subparts 2 to 4.
Subp. 2. Consultation with county of financial responsibility.
If the county which receives the provider's application is not the county of financial responsibility, the county which receives the provider's application shall consult with the county of financial responsibility before approving the provider's application. The county of financial responsibility's statement of approval or objections must be forwarded to the commissioner with the provider's approved application or notice of denial. If the county of financial responsibility's statement of approval or objections are not forwarded to the commissioner, the county's application shall not be considered complete.
Subp. 3. County approval or denial.
The county shall review the provider's application to determine if the application is complete and meets the criteria in parts 9510.1020 to 9510.1140. The county shall approve the provider's application if the application is complete and meets the criteria. The county shall deny the provider's application if the application is incomplete or does not meet the criteria unless the provider's application can be adjusted to meet the criteria or the county submits a written request for a variance under part 9510.1100.
Subp. 4. Notification.
The county shall send the provider and the client written notice of the county's decision on the provider's application as soon as a decision is made or within ten working days after receipt of the application, whichever occurs first. If the county denies the provider's application, the county shall notify the commissioner, provider, client, and the client's legal representative of the reasons for the denial in writing. The notice of the denial must state the specific provisions of the provider's application on which the county based the denial.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 922
Minn. R. 9510.1070 County's Application to Commissioner
If the county approves the provider's application, the county shall apply to the commissioner for a special needs rate exception within ten working days of the date of receipt by the county from the provider of a complete application and supporting documentation. To apply for a special needs rate exception, the county shall submit to the commissioner a copy of the provider's approved application and supporting documentation and the following documents:
A. documentation of the steps taken by the county to determine client and provider eligibility in accordance with parts 9510.1020 to 9510.1140, including documentation of the conditions which put the client at risk of regional treatment center placement or continued regional treatment center placement;
B. a copy of the client's current individual service plan which explains the need to place or retain the eligible client in a regional treatment center if the requested services cannot be provided and the sections of the individual program plans which include the methodology and measurable outcomes of the proposed intervention;
C. a copy of the client's most recent medical evaluation signed by a physician;
D. a copy of the client's regional treatment center discharge plan, if the special needs rate exception is requested to facilitate the client's discharge from a regional treatment center;
E. a copy of the county's plan to coordinate and monitor the implementation of the proposed staff intervention described in the application submitted according to part 9510.1040;
F. a letter from the county of financial responsibility stating approval of the changes in the individual service plan if the county submitting the application is not the county of financial responsibility; or if the county of financial responsibility does not approve the changes, a letter stating the reasons the county of financial responsibility does not approve the changes and describing the actions, if any, to be taken by the county of financial responsibility; and
G. if the special needs rate exception is not requested for both the day training and habilitation service and the ICF/DD, a written explanation must be provided by the county.
History
- Statutory Authority: MS s 252.46; 256B.092; 256B.501
- History: 10 SR 922; 14 SR 2354; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9510.1080 Commissioner's Determination
The commissioner shall review the county application to determine if the requirements in parts 9510.1020 to 9510.1140 are satisfied in determining whether to approve or deny an application for a special needs rate exception. The commissioner shall notify the county, provider, the client, and the client's legal representative of the decision within ten working days of the date the commissioner receives a completed application from the county. The special needs rate exception, if approved by the commissioner, must be effective as of the date the county submits a completed application to the commissioner. If the commissioner denies the application, the commissioner shall notify the county, provider, and client or client's representative in writing of the reasons for the denial.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 922
Minn. R. 9510.1090 Establishing Special Needs Rate Exception Payment
Subpart 1. Established by commissioner.
The commissioner shall establish the special needs rate exception payment according to subparts 2 to 5.
Subp. 2. Allowable costs.
Unless otherwise reimbursable by the Department of Vocational Rehabilitation or by direct payments under parts 9505.0170 to 9505.0475, the following costs, if approved by the commissioner in accordance with parts 9510.1020 to 9510.1140 and 9553.0010 to 9553.0080, are allowable for purposes of establishing the special needs rate exception payment:
A. additional salary, employee benefits, and payroll-related costs for direct care staff required to meet the client's needs as identified in the provider's application;
B. additional costs of services provided by a licensed medical, therapeutic, or rehabilitation practitioner; a mental health practitioner supervised by a board-certified psychiatrist; or a licensed psychologist or licensed consulting psychologist;
C. the costs of equipment required to meet the client's needs as identified in the provider's application.
Subp. 3. Nonallowable costs.
Only costs listed in subpart 2 are allowable for purposes of establishing the special needs rate exception. All other costs shall be disallowed.
Subp. 4. Limitation.
The combined per diem costs of training and habilitation services, ICF/DD services, and the special needs rate exception payment and any other special needs rate exception payments in effect for the same client, shall not exceed the medical assistance per diem cost of providing services to persons with developmental disabilities in regional treatment centers. For the purpose of determining this limitation, items A to F apply.
A. The training and habilitation services per diem in effect on the date the provider's completed application is submitted to the county must be multiplied by the number of days the services are provided annually.
B. The ICF/DD's temporary or final payment rate in effect on the date the provider's completed application is submitted to the county must be multiplied by 365.
C. The special needs rate exception amount must not exceed the total of the costs allowable under subpart 2. If a special needs rate exception is necessary for a client in both the ICF/DD and the training and habilitation service program, the amounts of both special needs rate exceptions must be combined. If the client is currently receiving a special needs rate exception, that amount must also be included.
D. The amounts determined in items A to C must be combined and divided by 365 to determine the combined per diem cost.
E. The regional treatment center medical assistance per diem rate must be the rate in effect on the date the provider's completed application is submitted to the county.
F. If the per diem cost in item D exceeds the per diem cost in item E, the commissioner shall deny the special needs rate exception application unless the per diem cost can be adjusted to meet the client's needs within the per diem cost in item E or the commissioner grants a variance under part 9510.1100.
Subp. 5. Computation of special needs rate exception payment.
The special needs rate exception payment must be calculated as follows:
A. The cost of additional equipment allowed in accordance with subpart 2, item C shall be paid as a lump sum payment during the first billing period following approval of the special needs rate exception.
B. Except as provided in item C, in order to compute the special needs rate exception payment for personnel costs, the costs of additional personnel allowable according to subpart 2, items A and B, must be divided by the estimated number of days the staff intervention will be needed.
C. In order to compute the special needs rate exception payment for personnel costs which vary during the estimated staff intervention period, the costs must be assigned on a monthly basis proportionate to the actual personnel costs incurred and then divided by the number of client days in the month.
D. Costs computed under items B and C shall be reimbursed as incurred and billed.
History
- Statutory Authority: MS s 252.46; 256B.501
- History: 10 SR 922; 12 SR 1148; 14 SR 2354; L 2005 c 56 s 2
Minn. R. 9510.1100 Variance Request
Subpart 1. Variance request.
The county may request a variance from the commissioner to approve a provider application which exceeds the limit in part 9510.1090, subpart 4 by up to 15 percent, if the provider meets the criteria in subpart 2.
Subp. 2. Eligible provider.
A licensed provider of training and habilitation services may apply for a variance if the provider is not an ICF/DD and provides or plans to provide training and habilitation services to a client who resides in an ICF/DD which has a per diem rate equal to or greater than 85 percent of the medical assistance per diem cost of providing services to persons with developmental disabilities in the regional treatment centers.
Subp. 3. Submittal of request.
The county shall submit the written variance request, including documentation showing that the provider meets the criteria for a variance, with the county's application for the special needs rate exception payment.
Subp. 4. Review of variance request; notification.
The commissioner shall review the variance request with the county's application for the special needs rate exception payment. If the county's application meets all of the requirements in parts 9510.1020 to 9510.1140 except the limitation in part 9510.1090 subpart 4 and the provider is eligible to apply for a variance under subpart 2, the commissioner shall approve the request. If the commissioner denies the variance request, the commissioner shall notify the county, provider, client, and the client's legal representative within ten days of receipt of the variance request of the reasons for the denial.
History
- Statutory Authority: MS s 252.46; 256B.501
- History: 10 SR 922; 12 SR 1148; 14 SR 2354; L 2005 c 56 s 2
Minn. R. 9510.1110 Emergency Procedure
Subpart 1. Definition.
For the purposes of this part, an emergency is either:
A. a postoperative condition resulting from unplanned surgery or unanticipated complications resulting from planned surgery which would result in continued placement in a hospital or skilled nursing facility, loss of placement in a community ICF/DD, and admission to a regional treatment center within 60 days; or
B. the sudden onset of self-injurious or aggressive client behavior which results in an immediate danger to self or others; which would result in immediate admission to the regional treatment center in the absence of intervention.
Subp. 2. Emergency approval.
In an emergency, the county may approve the addition of staff, consultation, or staff training necessary to intervene in the emergency without obtaining prior approval of a special needs rate exception from the commissioner if the county determines that all other client and provider eligibility is met. Only costs meeting the definitions under part 9510.1090, subpart 2, items A and B, shall be allowed under this part. No funds spent will be reimbursed, even in an emergency, without the county's approval. In an emergency, the county shall:
A. notify the commissioner by telephone no later than the next working day and in writing within three working days of the client's situation, and state in the notice a description of the behaviors or medical condition requiring emergency intervention and the actions taken by the provider to control the behaviors, and expenditures authorized by the case manager; and
B. complete and submit, according to parts 9510.1020 to 9510.1140, an application for a special needs rate exception for the emergency period and for any additional period, within 30 days of the date the county notified the commissioner of the emergency.
Subp. 3. Reimbursement for emergency services.
A special needs rate exception for the costs identified in part 9510.1090, subpart 2, item A or B, approved in accordance with subpart 2 shall be reimbursable for a period not to exceed 30 days from the date the county notifies the commissioner of the emergency. No payment shall be authorized by the commissioner for services provided during an emergency until an application is submitted to the commissioner by the county delineating actual costs of the intervention. The total amount authorized for payment by the commissioner is subject to the per diem limitations under part 9510.1090, subpart 4.
History
- Statutory Authority: MS s 252.46; 256B.501
- History: 10 SR 922; 14 SR 2354; L 2005 c 56 s 2
Minn. R. 9510.1120 Duration of Special Needs Rate Exception
Subpart 1. Maximum length of time for a special needs rate exception.
A special needs rate exception for a staff intervention must be limited to one approval per eligible client for a period of time not to exceed one year from the date of receipt of the county application by the commissioner except as provided in subpart 2.
Subp. 2. Renewals.
If the county determines that a special needs rate exception should be continued after the period initially approved, the county shall submit a new application in accordance with parts 9510.1020 to 9510.1140 at least 30 days prior to the date the special needs rate exception is scheduled to terminate. The county application for a renewal must contain a program and fiscal evaluation demonstrating the effectiveness of the initial special needs rate exception. A special needs rate exception for a staff intervention must be limited to two renewals, each of one year or less, per identified special need.
Subp. 3. Terminations.
The commissioner may terminate the special needs rate exception prior to the date stated in the application upon recommendation by the county. The county may recommend termination if:
A. the rate is no longer necessary because other funds are available;
B. the rate is no longer necessary because a more appropriate residential or day training and habilitation placement is available;
C. there is evidence that the funds have not been used for the purposes stated in the application;
D. the client's needs have changed and can be met without the special needs rate exception; or
E. no progress has been made in rectifying the identified problem area. This item shall not apply to services provided to clients with degenerative diseases if the criteria in subitems (1) to (4) are met:
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 922
Minn. R. 9510.1130 Records, Reports, Audits, and Repayment
Subpart 1. Records.
The provider shall maintain complete program and fiscal records and supporting documentation identifying the services and costs provided under the special needs rate exception. The costs must be maintained in well-organized files and identified in accounts separate from other facility or program costs. Costs authorized and approved under these parts do not become part of a provider's historic cost base for the purpose of setting rates under parts 9553.0010 to 9553.0080 or Minnesota Statutes, section 252.46. The provider's records shall be kept for five years and be subject to the maintenance schedule, audit availability requirements, and other provisions of parts 9505.2160 to 9505.2245.
Subp. 2. Reports.
The county shall submit items A and B to the commissioner.
A. A quarterly program and fiscal review of the overall effectiveness of the services to be provided under the special needs allowance unless the commissioner determines that a different schedule of reviews is needed to evaluate the success of the program or redetermine the special needs rate exception payment. The review must be submitted no more than 30 days after the end of each quarter in which a special needs rate exception is in place and must include:
B. A final report submitted within 90 days of termination of a special needs rate exception which documents the following:
Subp. 3. Audits.
The commissioner may conduct program and fiscal audits of any provider receiving a special needs rate exception to identify any overpayments made to the provider and ensure compliance with parts 9510.1020 to 9510.1140.
Subp. 4. Repayment.
Any overpayments to the provider included in the special needs rate exception payment must be paid back to the medical assistance program within 60 days of the date the provider receives the notice of overpayment from the county or the commissioner. No retroactive payment must be made if the provider's costs exceed the special needs rate exception payment.
History
- Statutory Authority: MS s 252.46; 256B.501
- History: 10 SR 922; 14 SR 2354
Minn. R. 9510.1140 Appeals
Subpart 1. By provider.
A provider whose application for a special needs rate exception is denied or not acted on within the deadlines in part 9510.1060, subpart 1, or whose special needs rate exception is suspended, reduced, or terminated by the county may appeal the action or decision to the commissioner. The appeal must be submitted to the commissioner in writing within 30 days of the date the provider received notification or should have received notification of the action or decision. The appeal must state the reasons the provider is appealing the county's action or decision including the bases for the county's action or decision which are disputed, the specific sections of the provider's application which the provider is relying on for the appeal, and an explanation of why the provider disagrees with the county's action or decision.
The commissioner shall review the application and supporting documentation submitted to the county and any additional documents submitted with the appeal to determine if the provider can prove by a preponderance of evidence that it is eligible for a special needs rate exception and in compliance with parts 9510.1020 to 9510.1140. Within 30 days of receipt of the provider's appeal, the commissioner shall notify the provider of the commissioner's decision. No special needs rate exception payment will be made pending the outcome of the appeal.
Subp. 2. By county.
If the county disagrees with the commissioner's decision on the county application, the county may appeal the decision to the commissioner and request reconsideration. To be reconsidered, the appeal must be filed in writing, with the commissioner, within ten days of the date the commissioner gave notice to the county of the decision on the county application. The appeal must state the reasons why the county is appealing the commissioner's decision and present evidence explaining why the county disagrees with the commissioner's decision. Within 30 days of receipt of the county's appeal, the commissioner shall review the evidence presented in the county's appeal and send written notification to the county of the commissioner's decision on the appeal. No special needs rate exception payment shall be made pending the outcome of the appeal. The commissioner's decision on the appeal shall be final.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 922
Minn. R. 9510.2000 Purpose and Scope
Subpart 1. Purpose.
The purpose of parts 9510.2000 to 9510.2050 is to govern the administration of the medical care surcharge under Minnesota Statutes, section 256.9657.
Subp. 2. Scope.
Parts 9510.2000 to 9510.2050 apply to nursing homes, Minnesota hospitals, and HMOs operating on or after October 1, 1992.
History
- Statutory Authority: MS s 256.9657; 256B.74
- History: 17 SR 2860
Minn. R. 9510.2010 Definitions
Subpart 1. Scope.
As used in parts 9510.2000 to 9510.2050, the following terms have the meanings given them in this part.
Subp. 2. Appeal.
"Appeal" means a written request made to the commissioner by a nursing home, Minnesota hospital, or HMO for a contested case hearing under Minnesota Statutes, chapter 14, regarding the amount of the medical care surcharge.
Subp. 3. Closed or closing.
"Closed" or "closing" means the facility has suspended the practice of providing inpatient hospital services, has suspended the practice of providing outpatient services, has suspended operation as a nursing home, or is in the process of suspending services under a plan of closure approved by the department.
Subp. 4. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designated representative.
Subp. 5. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 6. Federal Indian Health Service facility.
"Federal Indian Health Service facility" means a facility of the Indian Health Service, including a hospital, nursing facility, or other type of facility that provides services or a type of service otherwise covered under the state's medical assistance program, whether operated by the federal Indian Health Service or by an Indian tribe or tribal organization.
Subp. 7. Health maintenance organization or HMO.
"Health maintenance organization" or "HMO" means a health maintenance organization licensed and operating under Minnesota Statutes, chapter 62D.
Subp. 8. Hospital.
"Hospital" has the meaning given in part 9505.0175, subpart 16, but does not include federal Indian Health Service facilities and regional treatment centers.
Subp. 9. Medical care surcharge.
"Medical care surcharge" means the amount of tax to be paid by a nursing home, Minnesota hospital, or HMO under Minnesota Statutes, section 256.9657.
Subp. 10. Minnesota hospital.
"Minnesota hospital" means a hospital located in Minnesota.
Subp. 11. Nursing home.
"Nursing home" means a facility as defined in Minnesota Statutes, section 144A.01, subdivision 5, and licensed under Minnesota Statutes, chapter 144A.
Subp. 12. Regional treatment center.
"Regional treatment center" means a "state facility" as defined in Minnesota Statutes, section 246.50, subdivision 3.
Subp. 13. Settle-up.
"Settle-up" means to reduce an amount subsequently owed or to make a payment after resolution of an appeal under part 9510.2040 between a nursing home, Minnesota hospital, or HMO and the department in order to settle the difference between the medical care surcharge paid and the medical care surcharge owed.
History
- Statutory Authority: MS s 256.9657; 256B.74
- History: 17 SR 2860
Minn. R. 9510.2020 Medical Care Surcharge
Subpart 1. Nursing homes.
Effective October 1, 1992, and each July 1 after, an annual medical care surcharge of $535 is levied upon each nursing home bed licensed by the Minnesota Department of Health in nonstate operated nursing homes. Each nonstate operated nursing home must pay the surcharge for those beds licensed in its nursing home as of July 1 of each year, except that if the number of licensed beds is reduced after July 1, but prior to August 1, the surcharge shall be based on the number of remaining licensed beds. A nursing home entitled to a reduction in the number of beds subject to the surcharge under this provision must demonstrate to the satisfaction of the commissioner by August 5 that the number of beds has been reduced. Payments are due in equal monthly installments on the 15th day of each month beginning November 15, 1992. The monthly payment must be equal to the annual surcharge divided by 12. The November 15, 1992, payment shall be based on the number of licensed nursing home beds in the nursing home on July 1, 1992. Beginning July 1, 1993, the surcharge will be based on the number of licensed beds in the nursing home on July 1, 1993, and will change yearly on July 1 based on the then existing number of licensed nursing home beds in that nursing home.
Subp. 2. Minnesota hospitals.
Effective October 1, 1992, each Minnesota hospital must pay an annual medical care surcharge equal to 1.4 percent of that hospital's net patient revenue, excluding that hospital's net Medicare revenues, as reported to the health care cost information system for the fiscal year two years before the fiscal year ending June 30. This surcharge shall be paid in monthly installments due the 15th of the month, beginning October 15, 1992. The monthly payment must be equal to the annual surcharge divided by 12.
For the purpose of this subpart, the definitions in items A to D apply.
A. "Fiscal year" has the meaning given in part 4650.0102, subpart 19.
B. "Health care cost information system" means the reporting system as defined by parts 4650.0102 to 4650.0174.
C. "Net Medicare revenue" means any patient revenue attributable to the Social Security Act, title XVIII.
D. "Net patient revenue" has the meaning given "revenue" in part 4650.0102, subpart 36.
Subp. 3. Health maintenance organizations.
Health maintenance organizations must pay an annual medical care surcharge equal to six-tenths of one percent of the total premium revenues of that health maintenance organization as reported to the commissioner of the Department of Health for the fiscal year two years before the fiscal year ending June 30. This surcharge shall be paid in monthly installments due the 15th day of the month, beginning October 15, 1992. The monthly payment must be equal to the annual surcharge divided by 12.
For the purposes of this subpart, "total premium revenues" mean:
A. premium revenue recognized on a prepaid basis from individuals and groups for provision of a specified range of health services over a defined period of time, normally one month; and
B. premiums from Medicare wrap-around subscribers for health benefits which supplement Medicare coverage. If advance payments are made under item A or B to the HMO for more than one reporting period, the portion of the payment that has not yet been earned must be treated as a liability.
Subp. 4. Installment due date, acceptable postmark.
An installment payment postmarked on or before the 12th of a month satisfies the due date requirement for the 15th day of the month.
Subp. 5. Closed or closing nursing homes and hospitals.
The medical care surcharge as amended in 1992 does not apply to Minnesota hospitals or nursing homes closed before October 1, 1992.
Nursing homes that close or are in the process of closing after October 1, 1992, are subject to the medical care surcharge for each month after October 1, 1992, in which the home operates and maintains licensed beds.
Minnesota hospitals that close or are in the process of closing after October 1, 1992, are subject to the medical care surcharge until the first month after the hospital is completely closed.
Subp. 6. Nursing homes and hospitals that change ownership or enter into receivership.
The medical care surcharge continues for nursing homes and Minnesota hospitals that change ownership or enter into receivership.
Subp. 7. HMOs that cease operation.
HMOs that cease operation after October 1, 1992, are subject to the medical care surcharge until the first month after the HMO completely ceases operation. The medical care surcharge continues for HMOs that merge as long as any of the certificates of authority of the merging HMOs remain in force. If the certificate of authority for a merging HMO no longer remains in force, the medical care surcharge for that HMO will be discontinued.
Subp. 8. Nursing homes, Minnesota hospitals, and HMOs that begin operations after October 1, 1992.
Nursing homes, Minnesota hospitals, and HMOs that begin operations after October 1, 1992, are subject to the medical care surcharge under item A, B, or C.
A. The medical care surcharge will apply to a nursing home that begins operation after October 1, 1992, effective on July 1 immediately after the home becomes licensed. The nursing home shall be billed beginning on August 15 for the period of July 1 through July 31.
B. The surcharge for Minnesota hospitals begins the month immediately after the date when data has been reported to the health care cost information system for the fiscal year two years before the year of surcharge.
C. The surcharge for health maintenance organizations begins the month immediately after the date when data have been reported to the commissioner of health for the fiscal year two years before the year of surcharge.
History
- Statutory Authority: MS s 256.9657; 256B.74
- History: 17 SR 2860; 19 SR 1419
Minn. R. 9510.2030 Notification of Surcharge Amount
The commissioner must give written notice to a nursing home, Minnesota hospital, or HMO of the medical care surcharge amount owed at least 30 days before the date each payment is due. Notwithstanding the requirement that the monthly installments under part 9510.2020, subparts 1, 2, and 3, are due on the 15th day of the month, if written notice from the commissioner under this part is not received at least 30 days prior to the 15th, the due date of the monthly installment will be extended to 30 days from the day the notice is actually received by the nursing home, hospital, or HMO.
History
- Statutory Authority: MS s 256.9657; 256B.74
- History: 17 SR 2860
Minn. R. 9510.2040 Surcharge Appeals
Subpart 1. When allowed.
A nursing home, Minnesota hospital, or HMO may appeal the amount of each medical care surcharge payment assessed under Minnesota Statutes, section 256.9657.
Subp. 2. Criteria.
To be effective, an appeal must meet the criteria in items A and B.
A. The nursing home, Minnesota hospital, or HMO must appeal to the commissioner in writing. The appeal must be received by the commissioner no later than 30 days after the nursing home, Minnesota hospital, or HMO receives notice of the medical care surcharge amount. Unless the nursing home, Minnesota hospital, or HMO can establish a different date of receipt, the commissioner shall determine the date of receipt of the notice of the medical care surcharge amount to be three days after the notice was mailed by the commissioner, excluding Sundays and holidays.
B. The appeal must specify:
Subp. 3. Resolution.
The commissioner and the appealing party may attempt to resolve the appeal informally. If the dispute is not resolved informally between the commissioner and the party filing the appeal under subpart 2, item A, the appeal will be heard according to the contested case provisions in Minnesota Statutes, chapter 14, and the rules of the Office of Administrative Hearings. Upon agreement of both parties, the dispute may be resolved informally through any modified appeal procedures established by agreement between the commissioner and the chief administrative law judge.
Subp. 4. Surcharge payment during appeal.
The monthly medical care surcharge amounts established by the commissioner before an appeal must be paid by the dates due while an appeal is pending.
Subp. 5. Resolution of appeal.
If an appeal results in a determination that payment is due the appealing party, the commissioner shall settle-up with the appellant after the exhaustion of the appeal process. For purposes of this subpart, "exhaustion of the appeal process" means within 45 days of the date of the final decision of the court of appeals or the Minnesota Supreme Court if such a judicial review is sought. If no judicial review is sought, "exhaustion of the appeal process" means within 45 days of the date of the final decision of the commissioner.
Subp. 6. Monthly appeals.
An appeal must be filed for each month's disputed medical care surcharge amount due. The appeals may be consolidated in a contested case hearing under Minnesota Statutes, chapter 14. The medical care surcharge amount shall not be adjusted for any month for which an appeal was not filed.
History
- Statutory Authority: MS s 256.9657; 256B.74
- History: 17 SR 2860
Minn. R. 9510.2050 Enforcement
According to Minnesota Statutes, section 256.9657, subdivision 7, the commissioner shall impose civil penalties and interest on medical care surcharge payments that are more than 30 days overdue.
A three percent penalty is assessed the first day past due, and each 30 days after that, up to 24 percent in the aggregate. Interest will be calculated based on the following formula: tax balance multiplied by interest rate multiplied by length of time. The rate of interest is determined according to Minnesota Statutes, section 270C.40.
The medical care surcharge notice shall include the tax amount and due date, plus any penalty and interest if not paid by the due date.
History
- Statutory Authority: MS s 256.9657; 256B.74
- History: 17 SR 2860; L 2005 c 151 art 1 s 116
Chapter 9515 STATE HOSPITAL ADMINISTRATION
Minn. R. 9515.0200 Purpose and Applicability
Parts 9515.0200 to 9515.0700 establish standards that must be met in determining whether to use electroconvulsive therapy with a patient residing in a state facility and in obtaining consent to proceed with the treatment if its use is indicated.
Parts 9515.0200 to 9515.0700 also define psychosurgery and clarify that it is rarely used, is considered a treatment of last resort, and is not performed at state facilities. If psychosurgery is indicated for a patient residing in a state facility, part 9515.0450 establishes standards that facility staff must follow in referring the patient to a medical facility where the procedure can be performed.
History
- Statutory Authority: MS s 246.01
- History: 25 SR 1313
Minn. R. 9515.0300 [Repealed, 25 SR 1313]
[Repealed, 25 SR 1313]
Minn. R. 9515.0310 Definitions
Subpart 1. Scope.
The terms used in parts 9515.0200 to 9515.0700 have the meanings given them in this part.
Subp. 2. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designee.
Subp. 3. Designated agency.
"Designated agency" means an agency selected by the county board to provide the social services required under the Minnesota Commitment and Treatment Act, Minnesota Statutes, chapter 253B.
Subp. 4. Electroconvulsive therapy.
"Electroconvulsive therapy" means a medical treatment in which central nervous system seizures are induced by an electrical stimulus while the patient is under general anesthesia.
Subp. 5. Medical director of the facility.
"Medical director of the facility" means the person at a facility who holds that title. In facilities where the staff does not include a person with that title, "medical director of the facility" means the Department of Human Services medical director or the medical director's designee.
Subp. 6. Psychosurgery.
"Psychosurgery" means a surgical intervention to sever nerve fibers connecting one part of the brain with another to remove or destroy brain tissue with the intent of modifying or altering severe disturbances of behavior, thought content, or mood.
Subp. 7. State facility.
"State facility" means any facility owned or operated by the state of Minnesota and under the programmatic direction or fiscal control of the commissioner.
History
- Statutory Authority: MS s 246.01
- History: 25 SR 1313
Minn. R. 9515.0400 [Repealed, 25 SR 1313]
[Repealed, 25 SR 1313]
Minn. R. 9515.0450 Conditions Governing Referrals for Psychosurgery
If psychosurgery appears to be indicated for a patient residing in a state facility, the patient must be referred to a neurosurgical center and the referral must be approved by the facility medical director and the Department of Human Services medical director. Psychosurgery shall be considered a procedure of last resort. A referral may be made only when all other somatic treatments have failed with a patient whose obsessive compulsive disorder, seizure disorder, or pain syndrome is chronic and intractable and who is severely disabled and at extreme risk for debilitating self-injury or death. The neurosurgical center to which the patient is referred is responsible for taking the steps necessary to obtain consent and to meet any other legal requirements necessary to perform the procedure.
History
- Statutory Authority: MS s 246.01
- History: 25 SR 1313
Minn. R. 9515.0500 Conditions Governing Use of Electroconvulsive Therapy
Electroconvulsive therapy shall not be administered to adult patients residing in a state facility unless the medical director of the facility, after consultation with the patient's treating physician, has determined according to part 9515.0600 that electroconvulsive therapy is medically indicated; and unless one of the authorizations or consents described in item A or B applies. In the case of patients under age 18, including emancipated minors, electroconvulsive therapy shall not be administered without the judicial authorization required in part 9515.0700, subpart 1.
A. The patient is incapacitated and unable to consent to the treatment but authorization or consent exists because:
B. The patient has the capacity to give informed consent and does give written, informed consent for the treatment. A patient has capacity to give informed consent when the following conditions are met:
History
- Statutory Authority: MS s 246.01; 252.28; 256B.092; 256B.503
- History: L 1984 c 654 art 5 s 58; 12 SR 1148; 25 SR 1313
Minn. R. 9515.0600 Factors to Be Considered in Determining Medical Indications
In assessing whether electroconvulsive therapy is medically indicated, the medical director of the state facility where the patient resides or the patient's physician shall consider the following factors:
A. the predicted extent and duration of the therapeutic effects on mental activity and behavior patterns that the electroconvulsive therapy is expected to produce;
B. the risks of adverse side effects compared with potential benefits to the patient;
C. the likelihood that the treatment will produce the desired effects;
D. whether alternative treatments are available that produce less risk;
E. the medical community's standard for use of electroconvulsive therapy; and
F. the patient's capacity to determine whether the treatment is desirable.
History
- Statutory Authority: MS s 246.01
- History: 17 SR 1279; 25 SR 1313
Minn. R. 9515.0700 Hearings
Subpart 1. Judicial authorization required.
If a court order is required to authorize electroconvulsive therapy, the state facility's medical director or the director's designee shall petition the district court in the county of commitment for an order authorizing the treatment. If the patient has a court-appointed guardian or conservator, the medical director shall ask the guardian or conservator to seek authority to consent to electroconvulsive therapy in the district court in which the guardianship or conservatorship was established. When necessary and appropriate for the patient's welfare, the petition may be filed in the county where the patient is present.
Subp. 2. Contents of petition.
The petition shall state that consent is requested to administer electroconvulsive therapy, describe its purpose, recite the risks and effects of the procedure, and recite the findings of the medical director and treating physician as provided in parts 9515.0500 and 9515.0600.
The petition may request the appointment of a guardian ad litem to represent the patient's interests.
Subp. 3. Copy of petition for agency.
A copy of the petition shall be supplied to the designated agency in the county of financial responsibility in advance of the hearing.
Subp. 4. County attorney.
The medical director shall seek representation from the county attorney of the county in which the hearing is held. In the event the county attorney is unable to provide such representation, the medical director shall seek legal representation through the Department of Human Services.
Subp. 5. Cost of hearing.
The cost of such hearings shall be met by the county financially responsible for the patient as specified by Minnesota Statutes, section 256D.18, subdivision 2.
History
- Statutory Authority: MS s 246.01
- History: L 1984 c 654 art 5 s 58; 17 SR 1279; 25 SR 1313
Minn. R. 9515.0800 [Repealed, 25 SR 1313]
[Repealed, 25 SR 1313]
Minn. R. 9515.1000 Scope and Statutory Authority
Parts 9515.1000 to 9515.2600 govern the administration of the state facilities cost of care program in the Department of Human Services. Parts 9515.1000 to 9515.2600 are to be read in conjunction with Minnesota Statutes, sections 246.50 to 246.55 and other rules of the department. Parts 9515.1000 to 9515.2600 do not apply to persons admitted to chemical dependency treatment programs who are eligible to have chemical dependency treatment paid for with funds from the behavioral health fund under Minnesota Statutes, chapter 254B and parts 9530.7000 to 9530.7030.
History
- Statutory Authority: MS s 246.01; 246.23; 246.51
- History: L 1984 c 654 art 5 s 58; 12 SR 2252
Minn. R. 9515.1100 [Repealed, 12 SR 2252]
[Repealed, 12 SR 2252]
Minn. R. 9515.1200 Definitions
Subpart 1. Scope.
For purposes of parts 9515.1000 to 9515.2600, the following terms have the meanings given them.
Subp. 2. Business expense.
"Business expense" means the cost of producing income from a business or farm. Capital expenditures and depreciation are not included as part of a business expense.
Subp. 3. Capital expenditure.
"Capital expenditure" means an investment made to purchase property or to make an improvement to property which has a useful life of more than one year.
Subp. 3a. Client.
"Client" means a person receiving services at a state facility, whether or not those services require occupancy of a bed overnight. Client includes:
A. an inpatient;
B. a resident patient;
C. an outpatient;
D. a day patient;
E. a patient; and
F. a resident.
Subp. 4. Cost of care.
"Cost of care" means the cost of providing services to state facility clients, calculated in accordance with Minnesota Statutes, section 246.50, subdivision 5.
Subp. 5. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 6. Dependent.
"Dependent" means an individual whom a person is entitled to claim as a dependent on the Minnesota state income tax return. An individual may not be claimed as a full unallocated dependent by more than one person. When two or more persons are entitled to claim the dependent, the dependent shall be allocated equally among the persons unless the persons choose another allocation.
Subp. 6a. Financial file.
"Financial file" means financial data collected for the purpose of determining ability of the client or the responsible relative to pay the client's cost of care.
Subp. 7. Gross income or gross earnings.
"Gross income" or "gross earnings" means all income received except dividends and interest.
Subp. 8. Homestead.
"Homestead" means the house owned and occupied by the client as his or her dwelling place, together with the land upon which it is situated as limited by Minnesota Statutes, section 510.02.
Subp. 9.
[Repealed 10 SR 1589]
Subp. 10.
[Repealed, 16 SR 1797]
Subp. 11. Lump sum payment.
"Lump sum payment" means income received at one time. It includes windfalls, repayment of debts, payments from sale of property, tax refunds, gifts, and inheritances.
Subp. 12. Net income.
"Net income" means the amount of income remaining after deductions and exclusions from gross income as provided in parts 9515.1000 to 9515.2600.
Subp. 13.
[Repealed, 16 SR 1797]
Subp. 14.
[Repealed, 16 SR 1797]
Subp. 15.
[Repealed, 16 SR 1797]
Subp. 16. Person.
"Person" means a client, responsible relative, conservator, legal guardian, representative payee, trustee, county financial or social worker, case manager, or attorney.
Subp. 17. Personal property.
"Personal property" means all property which is not real property including dividends and interest.
Subp. 18. Property.
"Property" means everything owned by a person, including money.
Subp. 19. Real property.
"Real property" means land, including the buildings and improvements on it, and its natural assets, such as minerals and water.
Subp. 19a.
[Repealed, 16 SR 1797]
Subp. 20. Resource.
"Resource" means any property or benefit that is available to pay for the cost of care of the client.
Subp. 21. Responsible relative.
"Responsible relative" means the spouse and the parents of minor children in that order of liability for cost of care.
Subp. 21a. Services.
"Services" means all services in a state facility. The following are services:
A. observation;
B. care;
C. treatment;
D. diagnostic services;
E. therapeutic services;
F. counseling services treatment; and
G. other related assistance.
Subp. 22. State facility.
"State facility" means a regional treatment center, state nursing home, or other facility, as defined by Minnesota Statutes, section 246.50, subdivision 3.
History
- Statutory Authority: MS s 246.01; 246.23; 246.51
- History: 8 SR 172; L 1984 c 654 art 5 s 58; 10 SR 1589; 12 SR 2252; 16 SR 1797
Minn. R. 9515.1300 Time of Determination
Ability to pay the cost of care shall be determined when the client is admitted, when there is a change in the person's financial status, when a client, responsible relative, guardian, conservator, or representative payee reports a change in the financial status used in determining ability to pay, when the client has been hospitalized for 120 days or more, when the client is being discharged, and when the responsible relative's financial status has not been reviewed for one year.
Within the six-year period after the date of a client's discharge from the facility, the department from time to time may, and upon request of the client shall, reevaluate the client's ability to pay any balance of the charge for cost of care.
History
- Statutory Authority: MS s 246.01; 246.23; 246.50 to 246.55
- History: 10 SR 1589; 12 SR 2252; 16 SR 1797
Minn. R. 9515.1400 Persons Interviewed to Determine Ability to Pay
In all instances the client shall be present at the interview to determine ability to pay unless the client is a minor or the treatment staff of the state facility attests the client's presence is medically contraindicated. When the client cannot be present at the interview, the reason shall be noted in the financial file for that client.
The client shall be the source of financial information to determine ability to pay except when the management of the client's financial affairs is in the hands of another person. When the client is not the source of financial information the reason shall be noted in the financial file for that client.
When the client is not able to act on his or her own behalf, the person interviewed shall be the client's legal guardian, the conservator, the parents of a minor child, a spouse, a relative of the client, a trustee, a representative payee, the client's legal representative, or a county social worker.
If the client is unable to pay the full cost of the care, the responsible relative shall be interviewed.
History
- Statutory Authority: MS s 246.01; 246.23; 246.50 to 246.55
- History: 10 SR 1589; 12 SR 2252; 16 SR 1797
Minn. R. 9515.1500 Financial Interview
When a person is interviewed, the department shall:
A. inform the person that he or she may choose an individual to assist in the determination process and any other contact with the department by authorizing such assistance in writing;
B. provide the person with an informational pamphlet on cost of care and review with the person how the department determines the charges for the client's cost of care;
C. inform the person that financial information obtained from the person will not be released without the person's written consent except pursuant to Minnesota Statutes, chapter 13;
D. inform the person of county, state, and federal financial programs which may assist in paying the cost of care and meeting personal and family needs;
E. inform the person of the legal obligation to provide sufficient information, required documents, and proof necessary to determine ability to pay and of the consequences of the failure to do so;
F. provide the person the following forms which the department uses to investigate the person's financial resources: the financial information form, the insurance claim and assignment of insurance benefits form, and the form or forms consenting to the release of information necessary to obtain or verify information about the person's resources; and
G. request the person to complete and sign the forms provided by the department and to provide verification of financial information.
History
- Statutory Authority: MS s 246.01; 246.23; 246.51
- History: 8 SR 172; 12 SR 2252; 16 SR 1797
Minn. R. 9515.1600 Verification Required
This process shall be used to substantiate information entered on the signed financial information form. The department shall verify: the person's income, insurance benefits, property, deductions allowed to pay previously incurred debts, and the number of dependents claimed.
History
- Statutory Authority: MS s 246.50 to 246.55
- History: 10 SR 1589
Minn. R. 9515.1700 Consent Forms
The person shall provide the department with a separate signed consent form for each verification which must be obtained from a third party. The name, date, and the information authorized shall be on the consent form prior to the person's signature. A blanket authorization may be used for a group of related agencies such as banks or insurance companies.
History
- Statutory Authority: MS s 246.50 to 246.55
- History: 10 SR 1589
Minn. R. 9515.1800 Refusal to Complete Financial Information Form
Failure or refusal to complete and sign the required financial information form, apply insurance benefits received to pay the cost of care, or provide signatures required to assign third party benefits and release medical and financial information or verification within 30 days of the interview shall result in the determination that the person is able to pay the full cost of care permitted under Minnesota Statutes, section 246.51 until the person takes the required action.
History
- Statutory Authority: MS s 246.51
Minn. R. 9515.1900 Determination Order and Notice of Rate
A determination order and notice of rate showing the cost of care, the amount the person is ordered to pay and the right to a review and an appeal shall be sent by the department to the person, and the person's guardian, conservator, or representative payee.
History
- Statutory Authority: MS s 246.51
- History: 16 SR 1797
Minn. R. 9515.2000 Request for Review of Determination
A person who disagrees with the department's determination of ability to pay may request that the department review its decision. The request shall be made in writing within 15 calendar days of the date the order was mailed. The request for review shall include the reasons for disagreeing with the determination order. When a person requests review as provided in this part, the department's determination shall not become final until the department responds to the request for the review. The department shall send the person a notice of the decision after review and a final determination order.
History
- Statutory Authority: MS s 246.51
Minn. R. 9515.2100 Appeal of Determination
A person may also appeal from the determination order pursuant to Minnesota Statutes, section 246.55.
History
- Statutory Authority: MS s 246.51
Minn. R. 9515.2200 Sources of Income Considered
Subpart 1. In general.
The client's ability to pay shall be determined from insurance benefits, net income, and value of property owned.
Subp. 2. Insurance benefits.
When the investigation of the client's ability to pay discloses eligibility for insurance benefits, the client shall be determined to be able to pay the cost of care provided to the full extent of insurance benefits available. The dollar amount of this coverage need not be specified in the determination order.
When the insurance benefits pay less than the cost of care, the ability of the client to pay the remaining part of the cost of care shall be determined from the client's net income and nonexcluded property.
Subp. 3. Net income.
The client's entire net income remaining after the deductions from gross income have been made in accordance with part 9515.2300, subpart 4, except Supplemental Security Income paid under section 1611(e)(1)(E) of the Social Security Act, United States Code, title 42, section 1382(e)(1)(E), as amended through November 10, 1986, shall be available to pay the cost of care.
Subp. 4. Property.
As long as the client owns property not excluded under part 9515.2500, the client shall be determined able to pay the full cost of care.
History
- Statutory Authority: MS s 246.01; 246.23; 246.50 to 246.55
- History: 10 SR 1589; 12 SR 2252; 16 SR 1797
Minn. R. 9515.2300 Net Income of Client
Subpart 1.
[Repealed, 10 SR 1589]
Subp. 2. Lump sums.
Lump sums, other than excluded property, shall be treated as income in the month received and thereafter shall be treated as property, except that retroactive awards of retirement, survivors, and disability insurance shall be excluded as property for six months if retained after the month of receipt. The client shall report the lump sum to the department within ten working days.
Subp. 3. Seasonal income from business or farm.
Average monthly amounts for gross income and the deductions allowed in subpart 4 shall be used to calculate the net monthly income of farmers and other individuals who experience seasonal variations in income and business expenses.
Subp. 4. Deductions from gross income to arrive at net income.
The following items shall be deducted from the client's monthly gross income:
A. State and federal income tax payments, including back assessments.
B. Payments made under the Federal Insurance Contributions Act and Supplemental Medical Insurance.
C. Child care costs paid by the client and not reimbursed from any source.
D. Support payments ordered by a court and actually paid. If this deduction is taken, the individual for whom support is paid shall not be included as a member of the client's household in determining the monthly household living allowance in part 9515.2400.
E. Guardianship fees.
F. Monthly payments on previously incurred bills for medical, dental, and hospital care, car payments, house payments or rent, and utilities. The deduction allowed shall be the lesser of the sum of the actual monthly payments or $100 per month.
G. Personal expenses of employment, including mandatory retirement fund deductions, cost of transportation to and from work, work uniforms, union dues, dues of a professional association required for employment, and cost of tools and equipment used on the job. The amount deducted for costs of transportation to and from work shall be either the actual cost of public transportation or a per mile reimbursement as paid by the state to an employee using a personal car on state business for actual miles traveled.
H. Hospital and medical insurance premiums.
I. Business and farm expenses as reported on United States income tax returns. The cost of repairs and upkeep of income producing property which may be deducted shall be limited, on an annual basis, to two percent of the value of the property.
J. An allowance of $86 per month per boarder, $71 per month per roomer, and $157 per month for each person who is both a roomer and boarder. This amount shall be updated periodically by the percentage the legislature authorizes for public assistance grants.
K. A personal needs and clothing allowance of the client in the amount determined under Minnesota Statutes, section 256B.35 for persons receiving public assistance grants. In addition, a special personal allowance drawn solely from earnings from any productive employment under an individual plan of rehabilitation or work therapy shall be given to all clients in state facilities. The special personal allowance shall not exceed 50 percent of net monthly income.
L. Sixty percent of the income earned from child care in one's own home or, if the client chooses, the actual itemized business expenses incurred in providing child care subject to the limitations provided in parts 9515.1200, subparts 2 and 3; and 9515.2300, subpart 4, item I.
M. A client receiving inpatient services without dependents living in his or her home shall be allowed the actual cost of his or her housing and utilities in the community for the month of admission and a period of three months of continuous hospitalization subsequent to that admission. A client receiving inpatient services with dependents living in his or her home shall be allowed a pro rata share of his or her household's total actual housing costs during the month of admission and for a period of three months of continuous hospitalization subsequent to that admission. This housing allowance shall be available to the client receiving inpatient services only twice in any one calendar year regardless of the number of times the client is admitted to a state facility in that calendar year. A client receiving outpatient services or former client shall be allowed the actual cost of his or her housing and utilities.
N. A monthly household living allowance calculated according to the schedule in part 9515.2400.
History
- Statutory Authority: MS s 246.01; 246.23; 246.50 to 246.55
- History: 8 SR 172; 10 SR 1589; 12 SR 2252; 16 SR 1797
Minn. R. 9515.2400 Monthly Household Living Allowance Schedule
The number of persons in the household of a client receiving inpatient services is the number of dependents the client claims. The number in the household of a client receiving outpatient services or former client shall be the client plus the number of dependents claimed. The gross monthly income of a client's spouse, if any, shall be deducted from the housing allowances shown above.
By July 1 of each year, the department shall adjust the monthly household living allowance to reflect the annual percentage change reported in the most recent Consumer Price Index, for all urban consumers in the Minneapolis-Saint Paul area. The Consumer Price Index shall be as published by the Bureau of Labor Statistics, United States Department of Labor. The year 1967 is the standard reference base period.
By July 1 of each year, the department shall publish the adjusted monthly household living allowance in a department bulletin.
History
- Statutory Authority: MS s 246.01; 246.23; 246.50 to 246.55
- History: 10 SR 1589; 12 SR 2252; 16 SR 1797
Minn. R. 9515.2500 Property of Client
Subpart 1. In general.
Property shall be available to pay for the cost of the client's care to the extent owned by the client, subject to the exclusions in subparts 2 to 7.
Subp. 2. Real property.
The value of the client's homestead is excluded from consideration as a resource.
The value of real property owned by the client which produces a net income is excluded from consideration as a resource. Real property which the client is selling on a contract for deed and for which the client receives payments is considered income producing property.
Subp. 3. Personal property.
The value of the following personal property is excluded from consideration as a resource:
A. the value of personal property other than stocks, bonds, and other investment instruments which is owned by the client and which yields or contributes to the production of a net income, such as tools, farm implements, livestock, and business inventory and fixtures acquired prior to hospitalization;
B. the cash or liquid assets for a single client and the cash or liquid assets for a married couple shall be the standard for medical assistance recipients as provided in Minnesota Statutes, section 256B.056, subdivision 3, as from time to time amended;
C. Indian claim payments made by Congress to compensate for tribal land taken by the federal government;
D. Minnesota Housing Finance Agency loans for nine months after issuance;
E. one vehicle;
F. household goods and furniture;
G. clothing;
H. manufactured home used as a home by the client or the client's dependents;
I. personal jewelry;
J. bicycles;
K. cameras;
L. life insurance owned by the client is the standard for medical assistance recipients as provided in Minnesota Statutes, section 256B.056, subdivision 3, as from time to time amended;
M. trust funds, however trust funds are not excluded from consideration if the trustee is required or has discretion to use the funds for paying the cost of care or the funds are designated for care, support, maintenance, or medical care even if the trust requires that public funds must first be exhausted; and
N. burial expenses, including a burial lot and a prepaid burial account, shall be the standard for medical assistance recipients as provided in Minnesota Statutes, section 256B.056, subdivision 3, as from time to time amended.
Subp. 4. Waiver of property as a resource.
The department shall waive consideration of property in excess of the exemptions when the client's equity cannot be liquidated, the offered price is less than 80 percent of the market value given by two appraisers agreeable to both parties, or the cost of repairs necessary to meet the conditions of sale exceeds 35 percent of the offered price.
Each case shall be referred to the department's reimbursement division central office and decided on the merits of the facts recorded in the client's financial file to substantiate the circumstances.
The decision to waive the consideration shall be examined at least annually for changes in market value, opportunity for sale or mortgage, and other pertinent factors.
Subp. 5. Transfer of property.
The market value of any property transferred, less any value received, shall be treated as an available resource if the property is valued at more than $1,000 and if the transfer is for less than the market value and if the transfer is made:
A. during or after hospitalization in a state facility; or
B. prior to hospitalization in a state facility, but with intent to avoid the use of the property to pay for facility care or in determining ability to pay for care; or
C. prior to hospitalization in a state facility but within 24 months of admission.
Subp. 6. Documentation required.
When property described in subpart 5 is transferred during the period between two years prior to admission to a state facility and six years following discharge, the client or the representative shall provide documentation of the circumstances of the transfer.
Subp. 7. Exemption.
The provisions of subparts 5 and 6 do not apply when the client is not continuing to accrue charges and the full cost of care has been paid. The provisions of subparts 5 and 6 do not apply to property excluded from consideration under other provisions of parts 9515.1000 to 9515.2600.
History
- Statutory Authority: MS s 246.01; 246.23; 246.50 to 246.55
- History: 8 SR 172; 10 SR 1589; 12 SR 2252; 16 SR 1797
Minn. R. 9515.2600 Responsible Relative's Ability to Pay
Subpart 1. In general.
When the client is determined not to be able to pay the full cost of care, the department shall determine the ability of each responsible relative of the client to pay the amount permitted by statute.
Subp. 2. Interview.
The responsible relative shall be contacted to obtain and verify financial information.
Subp. 3. Insurance benefits.
The responsible relative shall inform the department about dependent benefits from hospital and medical insurance carried by the relative.
Dependent benefits to a client shall be considered the same as the client's insurance.
Any difference between benefits to a client and others covered by the responsible relative's policy shall be verified.
The responsible relative shall complete and sign the forms necessary to verify eligibility for benefits and assign benefits to pay the cost of care of the client.
The amount of the premium paid by the responsible relative may be deducted from the responsible relative's total obligation to pay.
Subp. 4. Liability of responsible relatives.
When the sum of the benefits described in subpart 3 and the client's other resources pay less than the full cost of care, the ability of each responsible relative to pay shall be determined in the statutory order of liability for cost of care. When two responsible relatives have the same order of liability for cost of care, a determination shall be made for each one except that a joint determination shall be made for parents who reside in the same household.
Subp. 5. Limitations on relative's ability to pay.
The ability of a responsible relative to pay shall be determined from the annual gross earnings of the responsible relative subject to the following limitations:
A. A responsible relative who verifies annual gross earnings of less than $11,000 shall be determined not able to pay the cost of care.
B. No responsible relative who is a resident of Minnesota shall be ordered to pay more than ten percent of the cost of care for each client except that the responsible relative who has failed to provide the information, documents, and proofs which are necessary to determine ability to pay as required by part 9515.1500, items F and G may be ordered to pay the full cost of care until such time as they are provided.
C. The department may require full payment of the full cost of care for a client whose parents or parent, spouse, guardian, or conservator do not reside in Minnesota and are financially able to pay as determined by the department.
D. Only the annual gross earnings of the spouse of a client shall be used to determine the spouse's ability to pay.
E. When a responsible relative is married to a person who is not a responsible relative, only the annual gross earnings of the responsible relative shall be used to determine the responsible relative's ability to pay.
F. The department may accept from the responsible relatives voluntary payments in excess of ten percent.
G. The liability of parents for cost of care provided to minor children shall be determined according to Minnesota Statutes, section 252.27, subdivision 2, and rules adopted under that section.
Subp. 6. Determination of relative's ability to pay.
A responsible relative who provides the department the information, documents, and proofs necessary to determine ability to pay as provided in part 9515.1500, items F and G shall have his or her ability to pay determined from the table in subpart 8. For purposes of this table, household size consists of the responsible relative and the responsible relative's dependents living in the responsible relative's household, other than the client.
A responsible relative who chooses not to provide the department the information, documents, and proofs necessary to determine ability to pay as provided in part 9515.1500, items F and G may be determined liable for the full cost of care.
Subp. 7. Purpose of table.
The table in subpart 8 shall be used to determine a relative's ability to pay, as described in subpart 6. When there is a change in the cost of care, the department shall revise subpart 8. Adjustments shall be made according to the following formula: at each level of annual gross earnings, daily payments equal to ten percent of the cost of care for the previous year shall be adjusted to equal either the daily payment at the next lower level of earnings plus 25 percent, or ten percent of the cost of care for the current year, whichever is less; successive levels of earnings shall be added to subpart 8 if needed to incorporate daily payments up to ten percent of the cost of care for the current year; the daily payment of a responsible relative whose earnings are above these levels shall be at ten percent of the current cost of care.
Subp. 8. Daily payment based on ability to pay according to household size and annual gross earnings of responsible relatives.
Subp. 9. Maximum rate.
When the annual gross earnings exceed the amount shown in the table in subpart 8, the daily payment shall be at the statutory limitation of ten percent of the cost of care.
Subp. 10. Verification of financial information.
The annual gross earnings of a relative and the number of dependents of a relative shall be verified from the relative's Minnesota state income tax return or, in the case of a relative who is not a resident of Minnesota and does not file a Minnesota state income tax return, from the United States income tax return.
The amount of the premium paid by the relative to provide dependent hospital and medical insurance coverage for the client shall be verified.
Subp. 11. Clothing and personal needs allowance of a minor.
The parents of a client who is an unmarried, dependent child are responsible for meeting the child's clothing and personal needs allowance in addition to the amount they are determined able to pay to meet the cost of care.
History
- Statutory Authority: MS s 246.01; 246.23; 246.50 to 246.55
- History: 8 SR 172; 10 SR 1589; 12 SR 2252; 16 SR 1797
Minn. R. 9515.3000 Definitions
Subpart 1. Scope.
As used in parts 9515.3000 to 9515.3110, the following terms have the meanings given them.
Subp. 2. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designated representative.
Subp. 3. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 4. Minnesota Sexual Psychopathic Personality Treatment Center.
"Minnesota Sexual Psychopathic Personality Treatment Center" means the secure facility established at Moose Lake by Minnesota Statutes, section 246B.02, to provide care and treatment for:
A. persons committed there by the courts as sexual psychopathic personalities or sexually dangerous persons; or
B. persons admitted there with the consent of the commissioner.
Subp. 5. Person or person in treatment.
"Person" or "person in treatment" means a person committed to the Minnesota Sexual Psychopathic Personality Treatment Center or admitted there with the consent of the commissioner as provided in Minnesota Statutes, section 246B.02.
Subp. 6. Sexually dangerous person.
"Sexually dangerous person" has the meaning given in Minnesota Statutes, section 253D.02, subdivision 16.
Subp. 7. Sexual psychopathic personality.
"Sexual psychopathic personality" has the meaning given in Minnesota Statutes, section 253D.02, subdivision 15.
Subp. 8. Treatment staff.
"Treatment staff" means staff members of the Minnesota Sexual Psychopathic Personality Treatment Center who are responsible for arranging, evaluating, planning, coordinating, or providing the programming and services required in part 9515.3040, subpart 1.
Subp. 9. Treatment support staff.
"Treatment support staff" means staff members of the Minnesota Sexual Psychopathic Personality Treatment Center whose primary responsibility is to maintain a secure and orderly environment supportive of treatment by performing such duties as escorting persons, observing persons' behavior, and directing group activities on the unit.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935; L 2013 c 49 s 22
Minn. R. 9515.3010 Purpose and Applicability
Parts 9515.3000 to 9515.3110 apply only to residential treatment programs operated by the commissioner primarily for persons committed as sexual psychopathic personalities or as sexually dangerous or admitted with the commissioner's consent. The purpose of parts 9515.3000 to 9515.3110 is to govern the operation, maintenance, and licensure of these department-administered treatment programs. As of October 30, 1995, the Minnesota Sexual Psychopathic Personality Treatment Center at Moose Lake is the only such treatment program.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3020 Program Admission Criteria
Except when admitted with the commissioner's consent as provided in Minnesota Statutes, section 246B.02, persons admitted to a treatment program licensed under parts 9515.3000 to 9515.3110 must meet one of the criteria in items A to C.
A. A court hold order is in effect under a petition for the person's commitment as a sexual psychopathic personality or sexually dangerous person.
B. A warrant of commitment has been issued for the person as a sexual psychopathic personality or sexually dangerous person pursuant to Minnesota Statutes, chapter 253B.
C. Final commitment action committing the person as a sexual psychopathic personality or sexually dangerous person has been taken under Minnesota Statutes, chapter 253B.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3030 Evaluation, Assessment, and Treatment Planning
Subpart 1. Multidisciplinary assessment.
The license holder must assess each person entering the treatment program within ten days after admission to determine the person's need for medical care, nursing services, psychological services, social services, chemical dependency treatment, education and vocational training, and recreation and leisure activities. After the initial assessment, the license holder must update assessments on all persons at least annually.
Subp. 2. Psychiatric evaluation.
A psychiatrist must evaluate each person within three working days after the person is admitted and reevaluate each person at least annually.
Subp. 3. Follow-up to psychiatric evaluation.
Specific mental health interventions indicated in addition to the usual sex offender treatment program must be prescribed and monitored by a psychiatrist. These interventions must be integrated into the treatment plan.
Subp. 4. Individual treatment planning.
Within 14 days after a person is admitted, a multidisciplinary team led by the program director or program director's designee must develop and begin implementing a written treatment plan for the person. Based on the assessments and evaluation in subparts 1 and 2, the plan must identify the person's needs; determine the phase of treatment where it is most appropriate for the person to begin treatment; establish goals; assign staffing responsibility; and provide for at least quarterly review. At a minimum, the team must include the person, a psychologist, a social worker, a nurse, and a member of the treatment support staff. When psychiatric or medical treatment is required, a physician must also be included on the team.
The case manager assigned by the county responsible for providing the person's social services must be notified of and given the opportunity to participate in all team meetings. Treatment staff who provide services identified in the treatment plan must also receive notice of team meetings and be given the opportunity to participate.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3040 Treatment Program Services
Subpart 1. Scope of treatment program services.
At a minimum, a license holder's program services and resources must include:
A. specific programs that address sex offense behaviors and remediation, and include, as applicable, related topics such as deviant sexual arousal patterns, assaultive behavior, human sexuality, victimization issues, reoffense prevention, and interpersonal relationships;
B. psychiatric, medical, dental, psychological, social, and advocacy services;
C. educational programming;
D. assessment and treatment of chemical dependency;
E. vocational rehabilitation services; and
F. leisure and recreational activities. The license holder must offer treatment in a form and structure consistent with a person's capacity to participate productively.
Subp. 2. Treatment-related policies and procedures.
A license holder must develop and follow written policies and procedures that specify how the license holder will fulfill the responsibilities in items A to G.
A. Meet data privacy laws and professional confidentiality standards, especially regarding the use and results of physiological examinations and the reporting of previously undetected criminal behavior which is disclosed by a person while in the program.
B. Evaluate individual treatment outcomes and program outcomes, including indicators to be used and processes for program improvement.
C. Prevent abuse and predation among program participants.
D. Provide gender-specific treatment where appropriate.
E. Respond to allegations of criminal acts committed by a person while in the program.
F. Monitor for contraband.
G. Provide a safe environment for staff, program participants, and visitors.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3050 Staffing Requirements
Subpart 1. Program director.
Each licensed facility must have at least one full-time program director who meets the requirements in part 9515.3060.
Subp. 2. Number of staff; staffing patterns.
The license holder must provide qualified treatment and treatment support staff in numbers sufficient to meet the license holder's responsibilities for evaluation and assessment, developing and implementing individualized treatment plans, providing a secure and orderly environment, and planning for discharge. The number and type of staff needed on a given unit at a given time are to be determined by the needs and characteristics of the persons on the unit in accordance with the ongoing staffing assessment required in subpart 3.
Subp. 3. Ongoing assessment and determination of necessary staffing levels.
Staffing levels shall be assessed and determined as specified in items A to G.
A. The license holder must perform assessments to determine the staffing levels necessary to meet the safety and treatment needs of program participants and the safety needs of staff. The assessments must address staffing levels for both treatment and treatment support staff functions.
B. The assessments must be based on factors that include but are not limited to the treatment needs of individual program participants, participants' tendencies to victimize others, participants' vulnerability to being victimized, the unit's population mix, and the influence of new admissions.
C. The license holder must develop a written plan that identifies specific participant characteristics related to resource utilization and specifies methods for evaluating the effectiveness and adequacy of staffing levels necessary to provide active treatment, support order, and provide safety and security to staff and participants.
D. Assessments must be completed as often as necessary but no less than quarterly.
E. A team representing different staffing needs within the facility must complete the assessments and report the resulting data to the facility administration.
F. The administration must review and consider the reported data as part of the continuing process of monitoring established staffing levels and reestablishing staffing levels as necessary. The administration must document when staffing changes are made due to assessment data.
G. The license holder must develop policies and procedures for implementing the requirements of this subpart.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3060 Staff Qualifications
Subpart 1. Program director.
The program director must have at least one year of work experience or training in administration or supervision, plus:
A. at least a master's degree in the behavioral sciences or related field plus at least two years of work experience providing services to sex offenders or to persons with behavioral disorders, developmental disabilities, mental illness, or chemical dependency; or
B. a bachelor's degree in the behavioral sciences or related field from an accredited college or university plus a minimum of four years of work experience providing services to sex offenders or to persons with behavioral disorders, developmental disabilities, mental illness, or chemical dependency.
Subp. 2. Treatment staff and treatment support staff qualifications.
A. Treatment staff members and consultants whose duties require them to be licensed, certified, or registered by the state of Minnesota must have a copy of their current license, certification, or registration in their personnel files.
B. Treatment staff members who provide assessments and individual and group counseling services must be qualified in at least one of the following ways:
C. A treatment staff member who provides services and programming to implement participant treatment plan objectives such as completing educational and vocational goals, identifying appropriate recreation and leisure activities, and developing social relationships with peers must, at a minimum:
D. Treatment support staff must be at least 18 years old and have a high school diploma or a commissioner of education-selected high school equivalency certification.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935; L 2017 1Sp5 art 10 s 7
Minn. R. 9515.3070 Staff Orientation and Development
Subpart 1. Initial staff orientation and training.
The license holder is responsible for ensuring that every staff member successfully completes the orientation training specified in items A and B.
A. Before providing direct care or having any other direct contact with persons in treatment, a staff member must:
B. Within the first 30 calendar days of employment, all staff members must complete introductory training in:
Subp. 2. Ongoing individual staff development and evaluation plan.
The license holder must ensure that an individual staff development and evaluation plan is developed and implemented for all staff who provide, supervise, or administer direct services. The plan must:
A. be developed within 90 days of employment and be reviewed and revised at least annually;
B. meet the staff development needs specified in the staff member's annual employee evaluation; and
C. address the specific age, cultural, and mental health needs of the persons being served.
Subp. 3. Amount of annual training.
The license holder must ensure that all staff receive the amount of training specified in this subpart.
A. Except as provided in items B and C, all staff must receive at least 16 hours of training annually.
B. Staff who work more than half time and have less than 4,000 hours of experience providing services to sex offenders or to persons with behavioral disorders, developmental disabilities, mental illness, or chemical dependency must receive at least 24 hours of training annually.
C. Treatment staff members and consultants whose duties require them to be licensed, certified, or registered by the state of Minnesota are exempt from the requirements in items A and B as long as they meet the training requirements necessary to remain current in their licensure, certification, or registration. The orientation required in subpart 1 may be counted toward the annual training requirement in an employee's first year of service.
Subp. 4. Content of training.
The license holder must ensure that at least 75 percent of the required training hours is focused on one or more of the following areas or subjects:
A. use of preventive de-escalation techniques and physical and nonphysical intervention to interrupt violent behavior;
B. application and compliance with Minnesota Statutes and rules related to treatment and services for sex offenders;
C. assessment and treatment of persons with special needs related to conditions such as substance abuse, obsessive compulsive disorder, organic brain damage, impulse control disorders, or other physical needs;
D. prevention and control of infectious diseases, including human immunodeficiency virus (HIV) infection;
E. how to administer first aid and cardiopulmonary resuscitation (CPR); and
F. review of research, practice, or regulations that affect care and treatment programs for sex offenders.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3080 Program Safety and Rules for Behavior
Subpart 1. Program safety.
The license holder must develop and follow policies and procedures for maintaining a secure and orderly environment that is safe for persons in treatment and staff and supportive of the treatment program.
Subp. 2. Written rules for behavior and consequences of violations.
The license holder must specify rules of behavior for persons in treatment that are consistent with maintaining program safety and supportive of the person's rights to treatment. The rules must be in writing and must include a range of consequences that may be imposed for violation of the rules. The license holder must review and approve the written rules and range of consequences at least annually.
The license holder must give each person in treatment a copy of the rules and consequences in a handbook or comparable format at the time of admission. If a person is unable to understand the written rules and consequences, the license holder must make the rules and consequences available in a form that the person can understand.
The license holder must also give each staff member a copy of the written rules and consequences and ensure that the contents are discussed in the orientation required by part 9515.3070.
Subp. 3. Criteria for written rules.
The written rules and consequences in subpart 2 must:
A. regulate only behavior that endangers persons in treatment or others or threatens the license holder's ability to maintain the order and safety of the treatment program; and
B. be clearly and objectively stated in terms of observable behavior.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3090 Behavior Management and Program Safety
Subpart 1. Behavior management.
Disciplinary restrictions, emergency seclusion, and protective isolation may be imposed in accordance with this part when necessary to ensure a safe, secure, and orderly environment for the treatment program. For purposes of this part, disciplinary restrictions, emergency seclusion, and protective isolation have the meanings in subparts 2 to 4.
Subp. 2. Disciplinary restrictions.
"Disciplinary restrictions" means withholding or limiting privileges otherwise available to a person in treatment as a consequence of the person's violating rules of behavior. Examples of disciplinary restrictions would include withholding or limiting such privileges as work, leisure, vocational and recreational activities, or access to parts of the facility. Disciplinary restrictions must:
A. be in proportion to the rule's importance to the order, safety, and security of the treatment program and to the severity of the violation;
B. be reasonably related to the nature of the behavior; and
C. take into consideration the person's past behavior while in the program.
Subp. 3. Emergency seclusion.
"Emergency seclusion" means an emergency intervention that physically separates the person in treatment from others, including placing the person in a room from which the person is not able or permitted to exit. Emergency seclusion does not include locking a person in the person's sleeping room during normal sleeping hours or limiting a person's access to parts of the facility to which the person would otherwise have access. Emergency seclusion must be:
A. imposed only when necessary to protect the person being secluded or another person or individual from imminent danger of serious physical harm or to prevent serious property damage;
B. authorized by the nurse on duty who must immediately contact a physician for an order; and
C. continued only as long as the person's behavior indicates imminent danger continues. Staff must monitor the person in emergency seclusion no less than every 15 minutes. A physician must review the situation at least every 24 hours.
Subp. 4. Protective isolation.
"Protective isolation" means placing a person in treatment in a room from which the person is not able or permitted to exit as a way of defusing or containing dangerous behavior that is uncontrollable by any other means.
The license holder must have written policies on protective isolation that cover the points in items A to C.
A. Protective isolation must not be used for the convenience of staff or as a substitute for programming.
B. Treatment must be available during protective isolation to the extent that the person's behavior and condition make treatment possible; treatment shall include components designed to eliminate or reduce the specified behavior or behaviors that caused the need for protective isolation.
C. Protective isolation must not go beyond 48 continuous hours unless the treatment team recommends continuation to the medical director in a statement that:
Subp. 5. Request for review of protective isolation.
The license holder must provide to a person in treatment who is placed in protective isolation a procedure which can be used immediately to request a review if the person believes the placement was unwarranted. Protective isolation may be imposed pending the outcome of the review. The review request procedure must include the elements in items A to D.
A. The review must be conducted by a panel of at least three persons, who were not participants in the decision to impose the isolation, and whose professional experience and training qualify them to assess the situation.
B. The review must be conducted and the outcome determined within seven days of being requested, excluding Saturdays, Sundays, and legal holidays, unless the review panel states in writing why a determination cannot be made within seven days and specifies when a determination will be made.
C. The person requesting the review must have the opportunity to present to the review panel evidence and argument to explain why protective isolation is unwarranted. The review panel may reasonably limit the form by which the evidence and argument are presented if necessary to ensure the physical safety of the review participants.
D. A person may request that the chief officer of the facility review a determination of the review panel. The chief officer's decision is final.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3100 Administrative Records
Subpart 1. Staff records.
The license holder must maintain personnel records on all staff. The staff records must include the following information:
A. documentation that a background study has been done as required by Minnesota Statutes, section 245A.04, subdivision 3;
B. documentation of a staff person's education and experience, including current licensure, certification, or registration when required by a person's position; and
C. documentation of staff orientation and training. The record must include the date orientation or training was completed, the topics covered, and the hours of training received.
Subp. 2. General administrative records.
The license holder must maintain the following administrative records and make the records available to the commissioner for inspection:
A. a directory of all persons in the treatment program;
B. a copy of the facility's licenses from the commissioner and the commissioner of health;
C. a copy of the purchase of service contracts and subcontracts with a consultant and other individuals who provide services in the residential program, but who are not under the direct control of the license holder; and
D. a copy of the facility's quality improvement plan, including reports that monitor and evaluate current activities.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Minn. R. 9515.3110 Records of Persons in Treatment
Subpart 1. Central record file on premises.
The license holder must maintain a central file of persons' records on the program premises.
Subp. 2. Admission record.
Each person's admission record must include:
A. the person's name, date of birth, and social security number;
B. a photograph taken at admission;
C. the date of admission;
D. the name, address, and telephone number of an individual to contact in case of an emergency;
E. documentation that the person's legal or medical status meets admission criteria;
F. names of victims identified as requiring or requesting protection from the person or notification of the person's release or change of status; and
G. names and telephone numbers of the person's attorney, county case manager, and any other individual warranted by the person's legal or medical status.
Subp. 3. Treatment records.
The license holder must document the course of evaluation and treatment for each person in treatment. In addition to any other documentation the license holder chooses to include, each persons's record must contain:
A. copies of the person's diagnostic assessment, individual treatment plan, progress notes, quarterly evaluation, and discharge plan;
B. names of the person's medical providers;
C. documentation of incidents or emergencies involving the person;
D. copies of any State Review Board reports on the person; and
E. a copy of the person's transfer and discharge summary when applicable.
Subp. 4. Consent to release information in record.
The license holder shall not release information in a persons's record without a written consent signed by the person that specifies:
A. the date of authorization and length of time, not to exceed six months from the date of the persons's signature, for which the consent is valid;
B. the information that will be released;
C. the purpose for releasing the information; and
D. the name of the individual or organization authorized to receive the information.
Subp. 5. Secure confidential file.
Confidential information that is not to be released to a person must be kept separate from the person's medical record in a secure confidential file. The file must be accessible to staff 24 hours a day.
History
- Statutory Authority: MS s 246B.04
- History: 20 SR 935
Chapter 9520 MENTAL HEALTH SERVICES
Minn. R. 9520.0010 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0020 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0030 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0040 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0050 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0060 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0070 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0080 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0090 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0100 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0110 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0120 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0130 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0140 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0150 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0160 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0170 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0180 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0190 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0200 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0210 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0230 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0300 [Repealed, 15 SR 1515]
[Repealed, 15 SR 1515]
Minn. R. 9520.0310 [Repealed, 15 SR 1515]
[Repealed, 15 SR 1515]
Minn. R. 9520.0320 [Repealed, 15 SR 1515]
[Repealed, 15 SR 1515]
Minn. R. 9520.0500 Scope
Parts 9520.0500 to 9520.0670 apply to all providers offering residential care and program services to five or more adults who are mentally ill at one time for more than 30 days in any 12-month period and is based, in part, on Minnesota Statutes, section 245A.02, subdivision 14. These parts apply to mental health residential programs which are Category I programs as defined in part 9520.0510, subpart 4 and semi-independent or supportive group living programs which are Category II programs as defined in part 9520.0510, subpart 5. These parts apply to mental health residential programs for the adult person who is mentally ill within state hospitals, and adult foster homes with five or more adult residents who are mentally ill. These entities must be licensed as either Category I or Category II.
Parts 9520.0500 to 9520.0670 do not apply to programs located within a licensed hospital, except state institutions under the control of the commissioner; nor does it apply to programs located within a licensed nursing home.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448; L 2002 c 221 s 50
Minn. R. 9520.0510 Definitions
Subpart 1. Scope.
As used in parts 9520.0500 to 9520.0670, the following terms have the meanings given them.
Subp. 2. Applicant.
"Applicant" has the meaning given it in Minnesota Statutes, section 245A.02, subdivision 3.
Subp. 3. Case management services.
"Case management services" means the arranging and coordinating of direct services for a resident with the involvement of the resident. These direct services include, but are not limited to: assuring a diagnosis, assessing the resident's strengths and weaknesses in order to determine the resident's needs, developing an individual treatment plan, and evaluating the plan's effectiveness.
Subp. 4. Category I program.
"Category I program" means a mental health residential program which provides program services in which there is an emphasis on services being offered on a regular basis within the facility with the use of community resources being encouraged and practiced.
Subp. 5. Category II program.
"Category II program" means a mental health residential program which provides either a transitional semi-independent living arrangement or a supervised group supportive living arrangement for persons who are mentally ill. This type of program offers a combination of in-house and community resource services with emphasis on securing community resources for most daily programming and employment.
Subp. 6. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or a duly authorized representative.
Subp. 7. Community representative.
"Community representative" means an individual who represents citizens' interests and who is neither an employee or board member, nor has any other official affiliation with the mental health residential program.
Subp. 8. Crisis services.
"Crisis services" means a set of activities designed to respond to medical, situational, and psychiatric emergencies.
Subp. 9. Department.
"Department" means the Department of Human Services.
Subp. 10. Full time.
"Full time" means work time equalling at least 37-1/2 hours per week.
Subp. 11. Independent living skills training.
"Independent living skills training" means services which both emphasize development of an individual's skills required to perform increasingly independent daily living functions and which are appropriate to the needs of the individual.
Subp. 12. Individual program plan or individual treatment plan.
"Individual program plan" or "individual treatment plan" means a written plan of intervention and treatment developed on the basis of assessment results and revised, if necessary, at certain intervals. The plan specifies goals and objectives and a means for their accomplishment, and also identifies responsible staff persons.
Subp. 13. License.
"License" has the meaning given it in Minnesota Statutes, section 245A.02, subdivision 8.
Subp. 14. Living unit.
"Living unit" means a set of rooms which are physically self-contained, which have the defining walls extending from floor to ceiling, and which include bedrooms, living rooms or lounge areas, bathrooms, and connecting areas.
Subp. 15. Mental health counselor.
"Mental health counselor" means an individual who, under the supervision of a mental health therapist or program director, provides treatment for residents who are mentally ill in a mental health residential program and who meets the requirements of part 9520.0660, subpart 8. The specific title of the individual employed in this position is at the discretion of the program as long as the title selection fairly reflects the responsibilities defined in parts 9520.0500 to 9520.0670 for a mental health counselor.
Subp. 16. Mental health residential program or program.
"Mental health residential program" or "program" means a planned combination of living conditions, services, and resources for the treatment and rehabilitation of five or more adults who are mentally ill on a 24-hour per day basis.
Subp. 17. Mental health therapist.
"Mental health therapist" means an individual skilled in providing mental health therapy in a mental health residential program and who meets the requirements of part 9520.0660, subpart 7. The specific title of the individual employed in this position is at the discretion of the program as long as the title selection fairly reflects the responsibilities defined in parts 9520.0500 to 9520.0670 for a mental health therapist.
Subp. 18. Mental health therapy.
"Mental health therapy" means various treatment modalities which may reasonably be expected to improve the resident's condition.
Subp. 19. Mental health worker.
"Mental health worker" means an individual who, under the supervision of a mental health counselor, mental health therapist, or program director, provides care, support, or assistance to residents who are mentally ill in a mental health residential program and who meets the requirements of part 9520.0660, subpart 9. Possible job titles for this staff position are resident manager, human services technician, independent living skills worker, and licensed practical nurse. The specific title of the individual employed in this position is at the discretion of the program as long as the title selection fairly reflects the responsibilities defined in parts 9520.0500 to 9520.0670 for a mental health worker.
Subp. 20. Person who is mentally ill.
"Person who is mentally ill" means a person who has been diagnosed by a physician, a licensed psychologist, or a licensed consulting psychologist as having a condition which results in an inability to interpret the environment realistically and in impaired functioning in primary aspects of daily living such as personal relations, living arrangements, work, and recreation; or which is listed in the International Classification of Diseases (ICD-9-CM), code range 290, 293-302.9 or 306-314.9, or the corresponding code in the American Psychiatric Association's Diagnostic and Statistical Manual of Mental Disorders (DSM-III), Axes I, II, or III.
Subp. 21. Motivation and remotivation services.
"Motivation and remotivation services" means a set of activities which encourages the development of positive attitudes and self-concept, and which encourages the resident to develop goals and to use available community resources.
Subp. 22. Program director.
"Program director" means a person who is responsible for the development and implementation of the mental health residential program and who meets the requirements of part 9520.0660, subpart 6.
Subp. 23. Provisional license.
"Provisional license" means a license issued under Minnesota Statutes, section 245A.04, subdivision 7, paragraph (b).
Subp. 24. Recreation and leisure time services.
"Recreation and leisure time services" means a set of activities designed both to meet a resident's personal and therapeutic needs of self-expression, social interaction, and entertainment, and to develop skills and interests that lead to enjoyable and satisfying use of leisure time. An objective of these services is the integration of residents into the recreational mainstream of the community.
Subp. 25. Restraint.
"Restraint" means any physical device that limits the free and normal movement of body and limbs.
Subp. 26. Seclusion.
"Seclusion" means involuntary removal into a separate room which prevents social contact with other persons.
Subp. 27. Socialization services.
"Socialization services" means a set of activities in which residents learn interpersonal relationship and communication skills.
Subp. 28. Social services.
"Social services" may include psychosocial evaluation; counseling based on social work problem-solving methods; activities designed to assist residents in dealing with tasks of daily living; utilization of community resources; psychotherapy for individuals, families, and groups; and education, planning, and advocacy for the social needs of residents.
Subp. 29. Support group services.
"Support group services" means a group process designed to allow residents to participate with other individuals in sharing feelings, experiences, and constructive feedback.
Subp. 30. Vocational services.
"Vocational services" means a set of activities emphasizing development of skills required to perform work functions in a competitive, semicompetitive, or volunteer work setting.
History
- Statutory Authority: MS s 245A.09
- History: L 1984 c 654 art 5 s 58; L 1987 c 333 s 22; 13 SR 144; 18 SR 2748; L 2002 c 221 s 50
Minn. R. 9520.0520 Licensing Process
Subpart 1. License required.
No mental health residential program shall operate in Minnesota unless it has a current and valid license or provisional license as required by Minnesota Statutes, chapter 245A.
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, 18 SR 2748]
History
- Statutory Authority: MS s 245A.09
- History: L 1987 c 333 s 22; 18 SR 2748; L 2010 c 382 s 86
Minn. R. 9520.0530 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9520.0540 Program Policy and Procedures Manual
Each mental health residential program shall develop a written policy and procedures manual. The manual shall contain all materials required by parts 9520.0550 to 9520.0630. The manual shall be available for inspection by the department.
History
- Statutory Authority: MS s 245A.09
Minn. R. 9520.0550 Statement of Purpose and Policies
The manual shall contain a complete statement describing the mental health residential program's philosophy and goals. This statement shall include, but not be limited to, a description of:
A. the geographical area to be served;
B. the design and methodology of program services; and
C. the scope of services offered.
History
- Statutory Authority: MS s 245A.09
Minn. R. 9520.0560 Program Organization and Administration
Subpart 1. Advisory committee.
Each program shall have an advisory committee which provides for community representation and public participation in its operation. The advisory committee shall have a core group which comprises a quorum. The core group shall include at least one program resident, the facility's administrator, and a community representative. The advisory committee shall document the procedure whereby residents are assured access to the advisory committee. The committee shall meet at least quarterly. Minutes of the meetings shall be recorded and kept on file at the facility.
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3. Designated authority.
A program operating within Minnesota with headquarters outside of the state shall have a duly authorized representative with decision-making responsibility designated within this state.
History
- Statutory Authority: MS s 245A.09
- History: 18 SR 2748
Minn. R. 9520.0570 Required Documentation and Reports
Subpart 1. Insurance coverage.
Each program shall have written documentation of insurance coverage in an amount sufficient to protect the interests of residents.
Subp. 2. Bonding.
Each program shall have written documentation that all employees are bonded or otherwise appropriately insured if they have access to or responsibility for handling money.
Subp. 3. Financial information.
A new program shall document in writing a plan of funding sufficient to meet total projected program costs for a period of at least one year in addition to start-up costs.
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5. Nondiscrimination policy.
Each program shall have a written policy which requires that no resident be discriminated against in admission, termination, or the provision of program services on the basis of race, creed, color, national origin, religion, physical disability, sexual preference, public assistance status, or marital status.
Subp. 6. Vulnerable adults.
Each applicant shall comply with provisions of Minnesota Statutes, section 626.557.
Subp. 7. Accident reports.
Each program shall have a written policy regarding accidents and missing persons. Each program shall maintain in central files at the facility reports regarding accidents or missing persons if the reports pertain to facility residents.
Subp. 8. Annual comprehensive report.
Each program shall give a comprehensive annual report to its governing body, its advisory committee and to the host county. The report shall also be available to the commissioner. The report shall include documentation in at least the following areas:
A. a current organizational chart listing the number of full-time equivalent positions in each job class;
B. training, staff development, and continuing education activities of staff;
C. administrative policy and procedure changes;
D. program evaluation as required in part 9520.0580; and
E. a financial report.
History
- Statutory Authority: MS s 245A.09
- History: 18 SR 2748; L 2005 c 56 s 2
Minn. R. 9520.0580 Program Evaluation
Subpart 1. Process required.
Each program shall institute an evaluation process to be conducted on an ongoing basis. The evaluation process shall be outcome-based and consistent with the emphasis of parts 9520.0500 to 9520.0670 on individual treatment planning. In a format developed by the commissioner, the data and documentation required by subparts 2 to 4 shall be submitted to the commissioner on an annual, aggregate basis for statewide summaries and for planning the use of state resources.
Subp. 2. General data.
Each program shall systematically collect data that includes, but need not be limited to: resident demographic data, program service data, and data on concurrent services. Each program shall submit the data to the host county for combination with follow-up data collected by county case workers.
Subp. 3. Individual data.
Each program shall also, for the purpose of examining the program's impact, assess the progress of each resident relative to the resident's individual treatment plan. Progress shall be assessed by rating each resident within 30 days of admission and thereafter at the time of quarterly review on uniform level of functioning scales determined by the commissioner.
Subp. 4. County technical assistance.
Each program shall collaborate with available county technical assistance staff to examine the evaluation results, to assess the overall progress of residents in the program, and to document how the results are used in administrative and program development.
Subp. 5. Data restrictions.
Each program shall collect the statistical data described in this part for the purpose of program evaluation. Dissemination shall be in accordance with provisions of the Minnesota Government Data Practices Act, Minnesota Statutes, sections 13.01 to 13.86, and all applicable federal rules or laws.
History
- Statutory Authority: MS s 245A.09
- History: L 2003 1Sp14 art 11 s 11; L 2005 c 98 art 3 s 24
Minn. R. 9520.0590 Personnel Policies and Procedures
Subpart 1. General requirements.
Each program shall have a written personnel policy and shall make a copy of it available to the department for review. Personnel policies shall be carried out in accordance with affirmative action policies and equal employment opportunity regulations.
Subp. 2. Job description.
The personnel policy shall contain job descriptions for each position specifying responsibilities, degree of authority to execute job responsibilities, standards of job performance, and qualifications.
Subp. 3. Job evaluation.
The personnel policy shall provide for job performance evaluations conducted on a regular and ongoing basis with a written annual review.
Subp. 4. Conditions of employment.
The personnel policy shall describe the employees' conditions of employment and the general conditions which constitute grounds for dismissal and suspension.
Subp. 5. Organizational chart.
The personnel policy shall also include a chart or definition of organizational structure indicating lines of authority.
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7. Personnel data.
Program employee personnel data shall be accessible to the department.
Subp. 8. Staff orientation.
The personnel policy shall include a program of orientation for all new staff and the orientation shall be based on a written plan. At a minimum, the plan of orientation shall provide for training related to the specific job functions for which the employee was hired, facility policies and procedures, and the needs of persons who are mentally ill.
Subp. 9. Staff training.
The program shall have a staff development plan, including continuing education opportunities. The plan shall be reviewed annually. The plan shall be relevant to the facility's program and resident population. There shall be at least 15 hours of continuing education annually for each staff person working directly with persons who are mentally ill. The training shall include, but need not be limited to, the following areas:
A. first aid training;
B. crisis intervention training for psychiatric emergencies;
C. problems and needs of persons who are mentally ill and their families;
D. community resources locally available to adults who are mentally ill;
E. psychotropic medications and their side effects;
F. resident rights;
G. cultural awareness training;
H. rules governing the operation of residential facilities for adults who are mentally ill;
I. staff stress or burnout; and
J. other topics, such as case management, individualized goal planning, chemical use and abuse, health and nutrition, and services for multiple disability residents.
Subp. 10.
[Repealed, 18 SR 2748]
History
- Statutory Authority: MS s 245A.09
- History: L 1984 c 654 art 5 s 58; 18 SR 2748; L 2002 c 221 s 50
Minn. R. 9520.0600 Personnel Files
Subpart 1. Central training file.
The orientation and continuing education required by part 9520.0590 shall be documented by each program in a central training file. The file shall be available to the department for review. Documentation shall include, but need not be limited to: the date, the subject, the name of the person who conducted the training, the names of staff attending, and the number of hours attended.
Subp. 2. Individual files.
Each program shall maintain a separate personnel file for each employee. The files shall be available to the department for review. Employees shall be able to review their own personnel files, subject to the provisions of the Minnesota Government Data Practices Act, Minnesota Statutes, sections 13.01 to 13.86. At a minimum, each file shall contain the following:
A. an application for employment or a resume;
B. verification of employee's credentials;
C. an annual job performance evaluation;
D. an annual growth and development plan;
E. documentation of orientation; and
F. a record of training and education activities during employment.
History
- Statutory Authority: MS s 245A.09
Minn. R. 9520.0610 Admission, Discharge, and Transfer Policies
Subpart 1. Admission criteria.
Each program shall develop admission criteria delineating the types and characteristics of persons who can and cannot be served by the program. Intake policies and procedures shall be developed including the role of community resources.
Subp. 2. Discharge and transfer policies.
Each program shall develop detailed discharge and transfer policies and procedures. The policies and procedures shall include:
A. a planned discharge or transfer conference with the resident, staff representatives, and others requested by the resident if possible;
B. identification of community resources which directly relate to the continuing needs of the resident; and
C. a description of the process by which a discharged or transferred resident would or would not have access to the staff and other residents in order to facilitate readjustment in the community.
History
- Statutory Authority: MS s 245A.09
Minn. R. 9520.0620 Program Services
The following services shall be offered either by the program or through a working agreement with other community resources:
A. case management services;
B. crisis services;
C. independent living skills training;
D. mental health therapy;
E. motivation and remotivation services;
F. recreation and leisure time services;
G. socialization services;
H. support group services;
I. social services;
J. vocational services; and
K. other services if their need is indicated by the resident assessment.
History
- Statutory Authority: MS s 245A.09
Minn. R. 9520.0630 Policies and Procedures Guaranteeing Resident Rights
Subpart 1. Explanation of rights.
A written statement of residents' rights and responsibilities shall be developed encompassing subparts 2 to 11. Program staff shall explain to each resident the resident's rights and responsibilities. A written statement of residents' rights and responsibilities shall be given to each resident, and to his or her responsible party if the resident has a legal guardian, on admission. A list of residents' rights and responsibilities shall be posted in a place accessible to the residents and shall be available to the department for review.
Subp. 2. Grievance procedure.
Upon admission each resident shall be informed of grievance procedures available to the resident, and a copy of the procedures shall be posted in a place accessible to the resident. The grievance procedures shall include the following:
A. an offer of assistance by the program staff in development and process of the grievance; and
B. a list of internal resources for use by the resident, such as the resident council or a grievance committee, and a list of community resources available to the resident, such as the Health Facilities Complaint Office in the Department of Health, the Licensing Division in the Department of Human Services, and the Department of Human Rights.
Subp. 3. Resident council.
Each program shall have a resident council through which residents have an opportunity to express their feelings and thoughts about the program and to affect policies and procedures of the program. Minutes of council meetings shall be recorded and made available to the program director.
Subp. 4. Personal funds policy.
Staff will not supervise the use of residents' personal funds or property, unless policies governing the supervision have been written and unless the resident has signed a consent form prior to the exercise of supervision indicating an awareness of and consent to procedures governing the use of the resident's personal funds. In order to encourage independent living skills, any restriction of a resident's personal funds must be documented in the individual treatment plan. Resident fund accounts shall be maintained separately from program fund accounts.
Subp. 5. Resident compensation.
A resident who performs labor other than labor of a housekeeping nature shall be compensated appropriately and in compliance with applicable state and federal labor laws, including minimum wage and minimum wage reduction provisions. Labor of a housekeeping nature shall be limited to household chores which a person living in his or her own residence in the community would normally perform.
Subp. 6. Physician appointments.
A resident shall be allowed to see his or her physician at any reasonable time.
Subp. 7. Photographs of residents.
A resident shall not have his or her photograph taken for any purpose beyond identification unless he or she consents.
Subp. 8. Telephone use.
Residents shall have access within the facility to a telephone for incoming, local outgoing, and emergency calls. They shall have access within the facility to a pay phone or its equivalent for outgoing long distance calls. Any restriction on resident access to telephones shall be documented in the individual treatment plan.
Subp. 9. Mail.
Residents shall be allowed to receive and send uncensored mail. Any restrictions shall be documented in the individual treatment plan.
Subp. 10. Restraints.
The facility shall have a written policy that defines the uses of restraint, seclusion, and crisis medications as a treatment mode; the staff members who may authorize its use; and a mechanism for monitoring and controlling its use. Physical restraint and seclusion shall be used only when absolutely necessary to protect the resident from injury to self or to others. Restraint, seclusion, and medications shall not be used as punishment, for the convenience of staff, or as a substitute for a program.
Subp. 11. Visitors.
Residents shall be allowed to receive visitors at reasonable times. They shall be allowed to receive visits at any time from their personal physician, religious adviser, and attorney. The right to receive visitors other than those specified above may be subject to reasonable written visiting rules and hours established by the head of the facility for all residents. The head of the facility may impose limitations on visits to an individual resident only if he or she finds the limitations are necessary for the welfare of the resident and if the limitation and reasons are fully documented in the resident's individual treatment plan.
History
- Statutory Authority: MS s 245A.09
- History: L 1984 c 654 art 5 s 58; 17 SR 1279
Minn. R. 9520.0640 Resident Records
Subpart 1. Individual program plan development.
The mental health residential program staff shall, within ten days after admission, write short-term goals with each resident in order to address the resident's immediate needs. The program staff shall, within 30 days of admission, write an individual program plan which contains the components specified in subpart 2. Medical, social, psychological, and psychiatric histories of the resident shall be used in the development of the plan. The plan shall be developed by an interdisciplinary team including the resident, the program staff, a representative of the referring agency and other appropriate resources, such as family, concerned others, and health care providers requested by the resident. Each resident shall be actively involved in developing his or her plan, unless contraindicated. The persons involved in the development of the individual program plan shall be noted on the plan. The extent of the resident's participation in developing the program plan shall also be noted on the plan. The plan and documentation related to it shall be kept in the facility where the mental health program is located.
Subp. 2. Plan contents.
An individual program plan shall contain at least the following components:
A. an assessment, including a strength and need list, of the resident in at least the following areas of life: social, medical, legal, family, leisure and recreation, spiritual or religious, psychological, financial, vocational, and educational;
B. the specific problems to be resolved;
C. a list of goals in order of priority;
D. specific, measurable, and time-limited objectives which relate directly to the goals;
E. specific methods, strategies, and resources, including medications, to be used by the staff in assisting the resident to accomplish the goals and objectives;
F. the names of community resource personnel, program staff, or other persons designated to assist the resident in implementing the various components of the plan; and
G. notes indicating progress in achieving the goals and objectives.
Subp. 3. Progress report.
A quarterly review of the resident's response to the individual treatment plan and his or her involvement in the facility's overall program shall be written. Copies of this report shall be given to the resident and shall be sent to the representative of the referring agency and other persons deemed appropriate by the program director and resident. The resident's level of participation in the development and the review of the report shall be documented. The report shall be kept at the facility.
Subp. 4. Discharge or transfer summary.
A discharge or transfer summary shall be written for each person transferred or discharged. The summary shall include at least the following information:
A. a brief review of the resident's problems, strengths, and needs while a resident of the program;
B. the response of the resident to his or her individual treatment plan and to the facility's overall program;
C. an aftercare plan which identifies the persons, including at least the resident, a program staff member, and a representative of the referring agency, who participated in the development of the aftercare plan; goals and objectives for the first three months after discharge or transfer; and individuals or agencies who will be working with the resident after discharge or transfer; and
D. a forwarding address and telephone number for follow-up contacts.
Subp. 5. Accidents and missing persons.
A copy of any report regarding accidents and missing persons must be documented in the individual's resident record if the resident is involved in the report.
Subp. 6. Release of information.
Private data regarding a resident shall not be used or released by the facility to any person or agency, except pursuant to the Minnesota Government Data Practices Act. The facility shall use written consent forms for any release of resident information or data.
History
- Statutory Authority: MS s 245A.09
Minn. R. 9520.0650 Living Unit Requirements
Subpart 1. Furnishings.
Each living unit shall include furnishings appropriate to the psychological, emotional, and developmental needs of each resident.
Subp. 2. Ratios.
For each program, there shall be one living room or lounge area per living unit for up to 25 residents.
Subp. 3. Program space.
There shall be space available for program services as indicated in the individual treatment plans such as an area for learning recreation and leisure time skills, and an area for learning independent living skills, such as laundering and cooking.
Subp. 4. Gender of residents.
The unit or complex of units shall house both male and female residents insofar as this conforms to prevailing cultural norms, unless contraindicated by the facility's overall program plan. The unit shall provide for appropriate separation of male and female residents.
Subp. 5. Privacy.
The living unit shall allow for individual privacy and group socialization. Each resident shall have the opportunity for privacy during assessment, interviews, counseling sessions, and visitations.
Subp. 6. Storage space.
Each facility shall provide to each resident storage space for clothing and other personal property, including a secure place for valuables. Each facility may exclude particular kinds of personal property from the facility for reasons of space limitations or safety. Any exclusions shall be documented and included in the policies and procedures manual of the facility.
History
- Statutory Authority: MS s 245A.09
Minn. R. 9520.0660 Additional Requirements for Category I Programs
Subpart 1. In general.
In addition to the requirements of parts 9520.0500 to 9520.0650, Category I programs shall meet the requirements of subparts 2 to 10.
Subp. 2. Capacity.
Applicants with facilities existing as of July 1, 1980, with a capacity exceeding 25 beds, shall have a three year grace period from February 8, 1982, to reduce capacity to 40 beds or fewer, or to divide the facility into living units which do not exceed 25 beds. Applicants with facilities existing as of July 1, 1980, with a capacity exceeding 25 beds per living unit, shall not increase the total capacity of the facility. New facilities shall not exceed a maximum capacity of 25 beds.
Subp. 3. Department of Health licensing standards.
The facility shall be licensed as a supervised living facility, a boarding care home, or a hospital.
Subp. 4. Intake information.
Each facility shall maintain in the facility documentation that:
A. a prospective resident has been diagnosed as being mentally ill and requires treatment;
B. the diagnoses are based on medical, social, psychological, and psychiatric information; and
C. medical, social, psychological, and psychiatric histories were obtained for each resident.
Subp. 5. Administrator.
An individual shall be designated as administrator of the mental health residential program. The administrator shall be responsible for continuous overall operation, including maintenance and upkeep of the facility. In the administrator's absence, a staff member who is familiar with operations of the organization shall be designated to assume the responsibilities of the administrator. An individual who is functioning as administrator but not as program director shall meet qualifications determined by the governing body which are consistent with the training and education needed to meet the stated goals of the program.
Subp. 6. Program director.
An individual shall be designated as the program director. The positions of program director and administrator may be filled by the same person. This individual shall meet at least the following qualifications:
A. a master's degree in the behavioral sciences or related field with at least two years of work experience providing services to persons who are mentally ill, or a bachelor's degree in the behavioral sciences or related field with a minimum of four years of work experience providing services to persons who are mentally ill; and
B. one year of experience or training in administration or supervision.
Subp. 7. Mental health therapist.
If mental health therapy is provided within the mental health residential program, a mental health therapist shall be hired. Persons employed as mental health therapists prior to February 8, 1982, shall not be required to meet the qualifications of items A and B. Persons employed as mental health therapists after February 8, 1982, shall be required to meet the qualifications of items A and B. The mental health therapist shall be qualified in at least the following ways:
A. a bachelor's degree; and
B. a master's degree in the behavioral sciences or related field or two years of advanced level, certificate training in mental health therapy.
Subp. 8. Mental health counselors.
If program services other than mental health therapy are provided within the mental health residential program, they shall be provided by mental health counselors or mental health workers, or both. Persons employed as mental health counselors prior to February 8, 1982, shall not be required to meet any specific education requirements. Persons employed as mental health counselors after February 8, 1982, shall have at least an Associate of Arts degree in one of the behavioral sciences or a related field or a registered nurse degree.
Subp. 9. Mental health workers.
Persons employed as mental health workers after February 8, 1982, shall meet the qualifications as determined by the governing body to be consistent with those needed to meet the stated goals of the program.
Subp. 10. Staffing ratios.
The program shall have sufficient staff to provide the required program services and implement the individual program plans. Staffing patterns shall be developed to ensure 24 hour coverage within the mental health residential program and to reflect the need for more staff per number of residents during hours of concentrated programming. The hours of the day devoted to concentrated programming shall be identified. The following minimum staff to resident ratios shall be maintained. The requirements of item B represent full-time equivalencies and may be prorated based on licensed resident capacity.
A. The number of work hours performed by the program director shall be prorated based on resident capacity with a ratio of 40 hours per week to 40 residents. With this ratio, applicants shall be allowed to use one program director to direct more than one program and shall be allowed to use one full-time program director for programs with less than a 40-bed resident capacity. With this ratio, applicants shall not be required to have more than one full-time program director for programs with more than a 40-bed resident capacity. However, applicants or programs with more than a 40-bed capacity shall describe whatever additional assistance they intend to provide for the program director function.
B. The number of work hours performed by the mental health therapist and mental health counselor and mental health worker may be combined in different ways, depending on program needs, to achieve a ratio of one full-time equivalent position for each five residents (1:5 FTE, averaged weekly). When the work hours are combined, the facility shall have written documentation that supervision is provided.
History
- Statutory Authority: MS s 245A.09
- History: L 2002 c 221 s 50
Minn. R. 9520.0670 Additional Requirements for Category Ii Programs
Subpart 1. In general.
In addition to the requirements of parts 9520.0500 to 9520.0650, Category II programs shall meet the requirements of subparts 2 to 9.
Subp. 2. Capacity.
Facilities existing as of July 1, 1980, with a capacity exceeding 25 beds shall have a three year period after February 8, 1982, to divide the facility into living units which do not exceed 25 beds. Facilities existing as of July 1, 1980, with a capacity exceeding 25 beds per living unit shall not increase the total capacity of the facility. New facilities shall not exceed a maximum capacity of 25 beds.
Subp. 3. Department of Health licensing standards.
The facility shall have a board and lodging license from the Minnesota Department of Health or its equivalent from a local health department or a health care license.
Subp. 4. Intake information.
Each facility shall maintain in the facility documentation that:
A. a mental health assessment or reassessment has been completed to determine appropriateness of admission; and
B. medical, social, psychological, and psychiatric histories were obtained for each resident.
Subp. 5. Medical information.
Each program with a board and lodging license shall require that a physical exam be done 30 days prior to admission or within three days following admission. Each resident shall have an annual physical and dental examination. Records shall be kept of annual medical and dental examinations, including records on all prescription medications the resident is taking. Records shall also be maintained regarding the general medical condition of the resident, including any disabilities and limitations.
Subp. 6. Administrator.
An individual shall be designated as administrator of the mental health residential program. The administrator shall be responsible for continuous overall operation, including maintenance and upkeep of the facility. In the administrator's absence, a staff member who is familiar with operations of the organization shall be designated to assume the responsibilities of the administrator. An individual who is functioning as administrator but not as program director shall meet qualifications determined by the governing body which are consistent with the training and education needed to meet the stated goals of the program.
Subp. 7. Program director.
An individual shall be designated as the program director. The positions of program director and administrator may be filled by the same person. This individual shall meet at least the following qualifications:
A. a master's degree in the behavioral sciences or related field and at least one year of work experience providing services to persons who are mentally ill, or a bachelor's degree in behavioral sciences or related field with a minimum of two years' work experience providing services to persons who are mentally ill; and
B. one year of experience or training in administration or supervision.
Subp. 8. Mental health therapists, counselors, and workers.
If program services are offered within the facility, they shall be provided by mental health therapists, mental health counselors, or mental health workers. The minimum qualifications for these positions shall be consistent with those of Category I specified in part 9520.0660, subparts 7 to 9.
Subp. 9. Staffing ratios.
The facility shall have sufficient staff to provide the required program services and implement the individual program plans. Staffing patterns shall be developed to ensure 24 hour coverage within the mental health residential program and to reflect the need for more staff per number of residents during hours of concentrated programming. The hours of the day devoted to concentrated programming shall be identified. The following minimum staff to resident ratios shall be maintained. The requirement of item B represents a full-time equivalency and may be prorated based on licensed resident capacity.
A. The number of work hours performed by the program director shall be prorated based on resident capacity with the ratio of 40 hours per week to 40 residents. With this ratio, applicants shall be allowed to use one program director to direct more than one program and shall be allowed to use one full-time program director for programs with less than a 40 bed resident capacity. With this ratio, applicants shall not be required to have more than one full-time program director for programs with more than a 40 bed resident capacity. However, applicants or programs with more than a 40 bed capacity shall describe whatever additional assistance they intend to provide for the program director function.
B. The number of work hours performed by the mental health therapist, mental health counselor, and mental health worker may be combined to achieve a ratio of one full-time equivalent staff position for each ten residents (1:10 FTE, averaged weekly). When the work hours are combined, the facility shall have written documentation that supervision is provided.
History
- Statutory Authority: MS s 245A.09
- History: L 2002 c 221 s 50
Minn. R. 9520.0680 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9520.0690 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9520.0750 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0760 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0770 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0780 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0790 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0800 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0810 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0820 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0830 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0840 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0850 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0860 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0870 [Repealed, L 2021 c 30 art 17 s 113]
[Repealed, L 2021 c 30 art 17 s 113]
Minn. R. 9520.0900 Scope and Availability
Subpart 1. Scope.
Parts 9520.0900 to 9520.0926 establish standards and procedures for providing case management services to children with severe emotional disturbance as authorized by Minnesota Statutes, sections 245.487 to 245.4889 and 256B.0625, subdivision 20, and to adults with serious and persistent mental illness as authorized by Minnesota Statutes, sections 245.461 to 245.486. Parts 9520.0900 to 9520.0926 are intended to comply with, and must be read in conjunction with, Minnesota Statutes, sections 245.461 to 245.4887, and chapter 256G.
Subp. 2. Availability; general.
The county board shall make case management services available to all children with severe emotional disturbance and their families who are residents of the county and who request or consent to the services under Minnesota Statutes, section 245.4881, and within the limits in Minnesota Statutes, section 245.486, and parts 9520.0900 to 9520.0926, and to all adults with serious and persistent mental illness who are residents of the county and who request or consent to services under Minnesota Statutes, section 245.4711. In making case management services available to children with severe emotional disturbance, a local agency shall use grants to counties for services to children with severe emotional disturbance, funds made available to counties for community social services under Minnesota Statutes, section 256E.12, allocations from title XX of the Social Security Act, and all other available state and federal funding sources. In making case management services available to adults with serious and persistent mental illness, the local agency shall use grants to counties for services to adults with serious and persistent mental illness under Minnesota Statutes, section 256E.12, funds made available to counties for community social services under Minnesota Statutes, section 256E.12, allocations from title XX, and all other available state and federal funding sources.
Case management services to children with severe emotional disturbance must be billed as required under Minnesota Statutes, section 245.4881, subdivision 1, paragraph (b). Case management services to medical assistance eligible adults with serious and persistent mental illness must be billed as required under Minnesota Statutes, section 245.4711, subdivision 1, paragraph (b).
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448; L 2003 1Sp14 art 11 s 11; L 2007 c 147 art 8 s 38
Minn. R. 9520.0902 Definitions
Subpart 1. Scope.
The terms used in parts 9520.0900 to 9520.0926 have the meanings given them in this part.
Subp. 2. Adult.
"Adult" means a person at least 18 years of age.
Subp. 3. Case manager.
"Case manager" means an individual who is employed by the local agency or an entity that is under contract to the local agency to provide case management services under parts 9520.0900 to 9520.0926 and who, if providing case management services to a child with a severe emotional disturbance, meets the qualifications specified in Minnesota Statutes, section 245.4871, subdivision 4, or who, if providing case management services to an adult with serious and persistent mental illness, meets the qualifications specified in Minnesota Statutes, section 245.462, subdivision 4.
Subp. 4. Case management provider.
"Case management provider" means a local agency that provides case management services or an entity that is under contract with the local agency to provide case management services.
Subp. 5. Case management services.
"Case management services," for a child with severe emotional disturbance, has the meaning given in Minnesota Statutes, section 245.4871, subdivision 3. For an adult with serious and persistent mental illness, case management services has the meaning given in Minnesota Statutes, section 245.462, subdivision 3. Case management services are services designed to achieve the outcomes specified in parts 9520.0904 for children, and 9520.0905 for adults.
Subp. 6. Case management team.
"Case management team" means a group of persons that:
A. For a child, consists of the child, the child's parent or foster parent, or other significant adult with whom the child is living, the child's legal representative, if any, and the child's case manager. Other persons or service providers requested by the child's parent or legal representative and the child to participate in making decisions about the child's services or to advocate on behalf of the child may be members of the case management team.
B. For an adult, consists of the adult, the adult's case manager, and representatives of other agencies contracted by the county to provide case management services to the adult.
Subp. 7. Child.
"Child" means a person under 18 years of age.
Subp. 8. Child with severe emotional disturbance.
"Child with severe emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 6.
Subp. 9. Client.
"Client" means a child or an adult who has been determined eligible for case management services according to part 9520.0910, subpart 1.
Subp. 10. Clinical supervision.
"Clinical supervision" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 7, for a child with a severe emotional disturbance and in Minnesota Statutes, section 245.462, subdivision 4a, for an adult with serious and persistent mental illness.
Subp. 11. Commissioner.
"Commissioner" means the commissioner of human services or the commissioner's designee.
Subp. 12. Community support services program.
"Community support services program" means the program of services specified in Minnesota Statutes, section 245.462, subdivision 6, and, in addition, day treatment services as specified in Minnesota Statutes, section 245.4712, subdivision 2.
Subp. 13. County board.
"County board" means the county board of commissioners or a board established under Minnesota Statutes, sections 471.59, or 402.01 to 402.10.
Subp. 14. County of financial responsibility.
"County of financial responsibility" has the meaning given in Minnesota Statutes, section 256G.02, subdivision 4.
Subp. 15. Day treatment services or day treatment program.
"Day treatment services" or "day treatment program" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 10, for a child with severe emotional disturbance and in Minnesota Statutes, section 245.462, subdivision 8, for an adult with serious and persistent mental illness.
Subp. 16. Diagnostic assessment.
"Diagnostic assessment" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 11, for a child and in Minnesota Statutes, section 245.462, subdivision 9, for an adult.
Subp. 17. Emergency services.
"Emergency services" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 14, for a child with severe emotional disturbance and in Minnesota Statutes, section 245.462, subdivision 11, for an adult with serious and persistent mental illness.
Subp. 18. Emotional disturbance.
"Emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 15, as applied to a child.
Subp. 19. Family.
"Family" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 16, or, for an Indian child, means a relationship recognized by the Minnesota Indian family preservation act, Minnesota Statutes, sections 260.751 to 260.835.
Subp. 20. Family community support services.
"Family community support services" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 17.
Subp. 21. Functional assessment.
"Functional assessment" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 18, for a child and in Minnesota Statutes, section 245.462, subdivision 11a, for an adult.
Subp. 22. Individual community support plan.
"Individual community support plan" has the meaning given in Minnesota Statutes, section 245.462, subdivision 12.
Subp. 23. Individual family community support plan.
"Individual family community support plan" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 19.
Subp. 24. Individual treatment plan.
"Individual treatment plan" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 21, for a child with an emotional disturbance and in Minnesota Statutes, section 245.462, subdivision 14, for an adult with mental illness.
Subp. 25. Inpatient hospital.
"Inpatient hospital" means an acute care institution as defined in Minnesota Statutes, section 144.696, subdivision 3, and licensed under Minnesota Statutes, sections 144.50 to 144.58.
Subp. 26. Legal representative.
"Legal representative" means a guardian appointed by the court to decide on services for a child as specified in Minnesota Statutes, section 525.619, a guardian as specified in Minnesota Statutes, section 260C.325, subdivision 4, a custodian as specified in Minnesota Statutes, section 260B.007, subdivision 13 or 260C.007, subdivision 10, or an Indian custodian as defined in Minnesota Statutes, section 260.755, subdivision 10.
Subp. 27. Local agency.
"Local agency" means the county agency under the authority of the county board that is responsible for arranging and providing mental health services required under Minnesota Statutes, sections 245.461 to 245.4887, as a component of community social services.
Subp. 28. Mental health practitioner.
"Mental health practitioner" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 26, for mental health services to a child and in Minnesota Statutes, section 245.462, subdivision 17, for mental health services to an adult.
Subp. 29. Mental health professional.
"Mental health professional" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 27, and also, except for clinical supervision purposes, a person qualified as specified in part 9505.0371, subpart 5, items B and C, for mental health services to a child and in Minnesota Statutes, section 245.462, subdivision 18, for mental health services to an adult.
Subp. 30. Mental health services.
"Mental health services" for a child means at least all of the treatment services and case management activities that are provided to children with emotional disturbances and specified in Minnesota Statutes, sections 245.487 to 245.4889 and for an adult with mental illness means the services provided to persons with mental illness as specified in Minnesota Statutes, section 245.466, subdivision 2.
Subp. 31. Mental illness.
"Mental illness" has the meaning given in Minnesota Statutes, section 245.462, subdivision 20.
Subp. 32.
[Repealed, 29 SR 1367]
Subp. 33. Outpatient services.
"Outpatient services" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 29, for a child with emotional disturbance and in Minnesota Statutes, section 246.462, subdivision 21, for an adult with mental illness.
Subp. 34. Parent.
"Parent" means the birth or adoptive mother or father of a child. This definition does not apply to a person whose parental rights in relation to the child have been terminated by a court.
Subp. 35. Professional home-based family treatment.
"Professional home-based family treatment" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 31.
Subp. 36. Residential treatment.
"Residential treatment" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 32, for residential treatment of a child with emotional disturbance and in Minnesota Statutes, section 245.462, subdivision 23, for an adult with serious and persistent mental illness.
Subp. 37. Screening.
"Screening" refers to the screening required under Minnesota Statutes, section 245.4885, subdivision 1.
Subp. 38. Serious and persistent mental illness.
"Serious and persistent mental illness" has the meaning given in Minnesota Statutes, section 245.462, subdivision 20, paragraph (c), clauses (1) to (4).
Subp. 39. Service provider.
"Service provider" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 33, for a child with emotional disturbance and in Minnesota Statutes, section 245.462, subdivision 24, for mental health services for an adult with mental illness.
Subp. 40. Special mental health consultant.
"Special mental health consultant" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 33a.
Subp. 41. Team coordinator.
"Team coordinator" means a person selected by the child's parent or legal representative or the child as provided in part 9520.0916, subpart 2.
Subp. 42. Therapeutic support of foster care.
"Therapeutic support of foster care" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 34.
Subp. 43. Updating.
"Updating" has the meaning given in Minnesota Statutes, section 245.4876, subdivision 2, for mental health services to a child and in Minnesota Statutes, section 245.467, subdivision 2, for mental health services to an adult.
History
- Statutory Authority: MS s 14.388; 245.484; 256B.04; 256B.0625
- History: 17 SR 1448; L 1999 c 139 art 4 s 2; L 2001 c 178 art 1 s 44; L 2003 1Sp14 art 11 s 11; 29 SR 1367; L 2007 c 147 art 8 s 38; 35 SR 1967
Minn. R. 9520.0903 County Board Responsibilities
Subpart 1. Responsibilities for case management services.
A county board shall assure that:
A. case management services coordinate the delivery of the child's mental health services on behalf of the child and the child's family across the local system of care and coordinate the delivery of the adult's mental health services;
B. case management services are delivered in a manner that integrates and coordinates mental health case management services with the services of other agencies serving the child and the child's family or the adult;
C. special mental health consultants are used as necessary in assessing the needs of a child of minority race or minority ethnic heritage;
D. case management services are not denied to children with severe emotional disturbance or to adults with serious and persistent mental illness;
E. the caseload assigned to a case manager providing case management services to children with severe emotional disturbance or to adults with serious and persistent mental illness complies with the requirement of subpart 2; and
F. the meetings, actions, and procedures related to case management services to children with severe emotional disturbance and to adults with serious and persistent mental illness comply with the requirements of parts 9520.0900 to 9520.0926.
Subp. 2. Limit on size of case manager's caseload.
A case manager's caseload must be of a size that enables the case manager to attend to the outcomes specified for case management services to a child as specified in part 9520.0904 or to the outcomes specified for case management services to an adult as specified in part 9520.0905. Except under the circumstances specified in this subpart, the average caseload of a case manager providing case management services shall not exceed the limits in item A or B.
A. From December 21, 1992 to December 31, 1993, the average caseload of a case manager providing case management services to children with severe emotional disturbance or providing case management services to adults with serious and persistent mental illness must not exceed the ratio of 40 clients to one full-time equivalent case manager.
B. Beginning January 1, 1994, the average caseload of a case manager providing case management services to children with severe emotional disturbance shall not exceed the ratio of 15 clients to one full-time equivalent case manager and the average caseload of a case manager providing case management services to adults with serious and persistent mental illness shall not exceed the ratio of 30 clients to one full-time equivalent case manager. A county that has an average case manager caseload in excess of the limit in item A or B on December 21, 1992, may continue to exceed the ratio required under item A or B but only to the extent that the increased revenue is insufficient to hire additional case managers needed to meet the ratio required under item A or B.
Subp. 3. Definitions.
For purposes of subpart 2:
A. "increased revenue" means revenue received from a source other than county funds by the county and its contracted providers for case management services provided under parts 9520.0900 to 9520.0926 during calendar year 1993 or the applicable calendar year thereafter which exceeds the revenue received from these sources for case management services provided under parts 9505.0476 to 9505.0490 during calendar year 1992;
B. "source other than county funds" means funds received through medical assistance, general assistance medical care for persons who would be eligible for medical assistance except that the person resides in an institution for mental diseases, state grants dedicated to case management services, and third-party payers;
C. "county funds" means funds available to a county through county levies, state block grants, federal block grants, and state shared revenue funds; and
D. "additional case managers" means an increase in the case management staff in comparison to the staff employed in December 1992. If a county demonstrates case management staff were hired with county funds before December 1992 in anticipation of increased revenue as defined in item A, the commissioner shall consider those case management staff as additional case managers.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448; L 2003 1Sp14 art 11 s 11
Minn. R. 9520.0904 Outcomes of Case Management Services to Children with Severe Emotional Disturbance
The case manager assigned by the local agency to provide case management services to children with severe emotional disturbance shall work with the case management team using a process that is designed to assist the child with severe emotional disturbance in pursuing the outcome of improved or maintained mental health and functioning and to achieve the outcomes in items A to G:
A. child-centered, family-focused, community-based services. For purposes of this item:
B. appropriate services that are culturally sensitive;
C. information provided to the child's parent or legal representative and the child as described in part 9520.0907 about eligibility for and frequency of case management services, the benefits of case management services and family community support services, potential cost of the services to the child and the child's parent, and the services available to achieve the overall outcome of case management and the other outcomes specified in the child's individual family community support plan;
D. assistance to the child and the child's family in obtaining the mental health and other services that are needed to achieve the outcomes specified in the child's individual family community support plan;
E. coordinated services to the child in a manner that simplifies access to the services, brings together similar services in a manner that eliminates duplicate services, and assures continuity of needed services;
F. compliance with and, as described in part 9520.0907, information to the child and the child's parent or legal representative about the Minnesota Government Data Practices Act under Minnesota Statutes, chapter 13, and information about the Patients and Residents of Health Care Facilities Bill of Rights, Minnesota Statutes, section 144.651, subdivisions 1, 3 to 16, 18, 20, and 30, and the fair hearing procedure under Minnesota Statutes, section 256.045; and
G. an individual family community support plan for the child according to Minnesota Statutes, sections 245.4871, subdivision 19, and 245.4881, subdivision 4, that specifies outcomes to be achieved based on the child's diagnostic and functional assessments and how progress toward achieving the outcomes will be monitored.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0905 Outcomes of Case Management Services to Adults with Serious and Persistent Mental Illness
The case manager assigned by the local agency to provide case management services to an adult with serious and persistent mental illness shall work together with the adult with serious and persistent mental illness using a process that is designed to assist the adult with serious and persistent mental illness in pursuing the outcome of improved or maintained mental health and functioning and to achieve the outcomes in items A to H:
A. client-centered, community-based services. For purposes of this item:
B. the involvement of members of the adult's family or other persons significant to the adult as authorized by the adult;
C. appropriate services that are culturally sensitive;
D. information provided to the adult about eligibility for and frequency of case management services, the benefits of case management and community support services, potential cost of the services to the adult, and the full array of services available to achieve the overall outcome of case management and the other outcomes specified in the adult's individual community support plan;
E. assistance to the adult in obtaining the mental health and other services that are needed to achieve the outcomes specified in the adult's individual community support plan;
F. coordinated services to the adult in a manner that simplifies access to the services, brings together similar services in a manner that eliminates duplicate services, and assures continuity of needed services;
G. compliance with and information to the adult about the Minnesota Government Data Practices Act under Minnesota Statutes, chapter 13, and information about the Patients and Residents of Health Care Facilities Bill of Rights under Minnesota Statutes, section 144.651, subdivisions 1, 3 to 16, 18, 20, and 30, and the fair hearing procedure under Minnesota Statutes, section 256.045;
H. an individual community support plan for the adult according to Minnesota Statutes, section 245.4711, subdivision 4, that specifies outcomes to be achieved based on the adult's diagnostic and functional assessments, the goals identified by the adult, the activities for accomplishing each goal, and how progress toward achieving the outcomes will be monitored.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0906 Local Agency Responsibilities; Notice After Request or Referral for Services
Subpart 1. Notice following request or referral for services.
As required under Minnesota Statutes, section 245.4881, subdivision 2, in response to a request or a referral for case management services for a child or as required under Minnesota Statutes, section 245.4711, subdivision 1, in response to a request or a referral for case management services for an adult, the local agency must notify within five working days after receiving the request or referral, the child's parents or child's legal representative, and the child or the adult of the individual's potential eligibility for case management services. The notice must be written in plain language and explain the individual's potential eligibility for case management services and, in the case of a child, for family community support services or in the case of an adult, for community support services. The contents of the notice shall comply with Minnesota Statutes, section 245.4881, subdivision 2, paragraph (b), in the case of a child with emotional disturbance or with Minnesota Statutes, section 245.4711, subdivision 2, paragraph (a), in the case of an adult with mental illness. A notice responding to a request or referral for services to a child also must state that the person to whom the notice is addressed may request county assistance in contacting a special mental health consultant to assist in assessing and providing appropriate treatment to a child of a minority race or minority ethnic heritage.
Subp. 2. Notice when there is no known address.
If the local agency does not receive the address of the adult or the child and the child's parent or legal representative from the person referring the adult or the child for case management services, the local agency must attempt to locate the adult or the child and give the adult or the child's parent or legal representative or the child the notice specified in subpart 1.
Subp. 3. Follow-up notice of availability of case management services.
If the person notified under subpart 1 or 2 does not respond within 30 calendar days after the local agency gives the required notice, the local agency must make a reasonable attempt to contact the person to explain the potential eligibility of the child or adult for case management services.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0907 Persons to Receive Information and Plan Child's Case Management Services
Subpart 1. Person to receive information and plan child's services.
Except as specified in subparts 3 and 4, when case management services are requested for a child or the child is referred for case management services, the child's parent or legal representative, if any, has the right to receive the notices and information specified under parts 9520.0900 to 9520.0926 to make the decision whether to accept case management services for the child and to be included in planning the case management services available to the child under parts 9520.0900 to 9520.0926.
Subp. 2. Child's receipt of information and inclusion in planning services.
A child who is at least 12 years of age has the right to and a child who is less than 12 years of age may receive the notices and information specified under parts 9520.0900 to 9520.0926 and be included in planning the case management services available to the child under parts 9520.0900 to 9520.0926 unless these actions are determined by a mental health professional to be clinically inappropriate to the child's mental health needs. If the mental health professional determines that it is clinically inappropriate to the child's mental health needs, the reasons for the determination must be documented in the child's case record.
Subp. 3. Child only to receive information, plan, and decide on child's case management services.
If one of the circumstances in item A or B applies, the child only has the right to receive the required notices, make the decision whether to accept case management and other mental health services, and be included in planning case management services.
A. The parent or legal representative is hindering or impeding the child's access to mental health services and the child is at least 16 years of age.
B. The child:
Subp. 4. Petition filed or court order issued.
If a petition has been filed under Minnesota Statutes, chapter 260, or a court order has been issued under Minnesota Statutes, section 260C.148 or 260C.151 and a guardian ad litem appointed and if consent for case management services has not been otherwise obtained from the child's parent or legal representative or the child, the local agency may request a court order under Minnesota Statutes, chapter 260, to authorize case management services for the child.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448; L 1999 c 139 art 4 s 2
Minn. R. 9520.0908 Contact Between Board-Designated Services Coordinator and Child's Parent and Child or the Adult
Before a determination of the case management service eligibility of a child or an adult for whom case management services have been requested, the person designated by the county board to coordinate case management services shall attempt to contact the child's parent or legal representative and the child or the adult no later than 15 working days after the local agency receives the referral or request under part 9520.0906. In the contact, the person designated by the county board to coordinate case management services must explain that access to case management services depends on a determination that the child has a severe emotional disturbance or the adult has serious and persistent mental illness and must assist the child's parent or legal representative and the child as described in part 9520.0907 or the adult to make an informed choice of whether to obtain the diagnostic assessment or the review and updating of a diagnostic assessment required under part 9520.0909 in order to make the determination of the child's eligibility. In helping the child's parent or legal representative and the child or the adult make an informed choice on whether to obtain a diagnostic assessment, the person designated by the county board to coordinate case management services must explain that the local agency will, if requested, assist in obtaining a diagnostic assessment.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0909 Determination of Serious and Persistent Mental Illness or Severe Emotional Disturbance; Assistance in Arranging Diagnostic Assessment
Subpart 1. General requirement.
Except as specified in subpart 2, a diagnostic assessment is required to determine whether a child or an adult is eligible for case management services under parts 9520.0900 to 9520.0926. If the child's or adult's diagnostic assessment was completed no earlier than 180 days before the referral or request for case management services for the child or adult, only updating is necessary unless the child's or adult's mental health status has changed markedly since the child's or adult's most recent diagnostic assessment. If the child or adult has not had a diagnostic assessment within 180 days before the request or referral for case management services for the child or adult or if the child's or adult's mental health status has changed markedly, the child or the adult must obtain a new diagnostic assessment.
Subp. 2. Eligibility if child or adult does not have a current diagnostic assessment.
Notwithstanding the requirement of subpart 1, a child or an adult is eligible for case management services if all of the following criteria are met:
A. the person requests or is referred for and accepts case management services;
B. a diagnostic assessment is refused at the time of the person's referral or request for case management services by:
C. the case manager determines that:
D. the person obtains a new or updated diagnostic assessment within four months of the day the person first receives case management services.
Subp. 3. Assistance in obtaining diagnostic assessment.
If the child's parent or legal representative, the child as described in part 9520.0907, or the adult consents to the child's or adult's assessment for eligibility for case management services, the local agency must offer, within ten working days of the consent, to assist the child and the child's parent or legal representative or the adult in obtaining an appointment with a mental health professional chosen by the child's parent or legal representative or the child or the adult to conduct a diagnostic assessment. The local agency must request, in the case of a child, authorization as required under Minnesota Statutes, section 245.4876, subdivision 5, paragraph (6), or must request the authorization of the adult for the mental health professional conducting the diagnostic assessment to release the results of the diagnostic assessment to the local agency.
Subp. 4. Diagnostic assessment of child of a minority race or minority ethnic heritage.
If a mental health professional conducts a diagnostic assessment of a child of a minority race or minority ethnic heritage, the mental health professional also must be skilled in and knowledgeable about the child's minority racial and minority ethnic heritage. If the mental health professional is not skilled and knowledgeable in conducting the diagnostic assessment of a child of a minority race or minority ethnic heritage, the mental health professional conducting the diagnostic assessment must consult a special mental health consultant to assure that the diagnostic assessment is relevant, culturally specific, and sensitive to the child's cultural and ethnic needs.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0910 Determination of Eligibility for Case Management Services
Subpart 1. Local agency determination.
Upon receipt of the report of the mental health professional conducting or updating a diagnostic assessment required under part 9520.0908, the local agency must promptly determine whether the child meets a criterion in part 9520.0902, subpart 8, or whether the adult meets a criterion in part 9520.0902, subpart 38.
Subp. 2. Notice of determination.
The local agency shall notify, in writing, the child's parent or legal representative and the child or the adult of the determination about the child's or the adult's eligibility for case management services unless case management services have already been initiated for the child or adult.
Subp. 3. Eligible client referred to provider.
If the client is determined to be eligible for case management services and if consent for the services is obtained, the local agency shall refer the client to a case management provider for case management services.
Subp. 4. Referral of adult with mental illness or child with emotional disturbance.
If the local agency determines the child to have an emotional disturbance but not to have a severe emotional disturbance or determines the adult to have a mental illness but not to have a serious and persistent mental illness, the local agency shall offer to refer the client to a mental health provider or other appropriate service provider and to assist the client to make an appointment with a provider chosen by the child's parent or legal representative or the child or by the adult.
Subp. 5. Refusal.
The parent or legal representative of a child or the child or adult who is determined eligible for case management services may refuse the case management services. However, the refusal does not affect the client's eligibility to receive case management services or other mental health services for which the client is eligible.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0912 Case Manager Qualifications and Required Supervision
Subpart 1. Qualification of case manager; services to a child.
Except as provided in subpart 3, a case manager providing case management services to a child with severe emotional disturbance must have a bachelor's degree in one of the behavioral sciences or related fields from an accredited college or university and have at least 2,000 hours of supervised experience in the delivery of mental health services to children with emotional disturbance, be skilled in identifying and appraising the child's needs, be skilled in setting and monitoring appropriate service outcomes, and be knowledgeable about local community resources and how to use the resources for the benefit of the child and the child's family. A person who is from any professional discipline that is part of the local system of care serving children or who is employed by or under contract to the local agency is eligible to serve as a case manager for children with severe emotional disturbance if the person meets the qualifications of this part.
Subp. 2. Qualification of case manager; services to an adult.
Except as provided in subpart 3, a case manager providing case management services to an adult with serious and persistent mental illness must have a bachelor's degree in one of the behavioral sciences or related fields from an accredited college or university and have at least 2,000 hours of supervised experience in the delivery of services to adults with mental illness, must be skilled in the process of identifying and assessing a wide range of client needs, must be skilled in setting and monitoring appropriate service outcomes, and must be knowledgeable about local community resources and how to use those resources for the benefit of the adult with serious and persistent mental illness.
Subp. 3. Case manager; supervision.
Clinical supervision of a case manager shall be provided as specified in items A to C. Additionally, if the mental health professional is providing clinical supervision of a case manager who provides case management services to children, the mental health professional must be qualified as specified in Minnesota Statutes, section 245.4871, subdivision 27, and must be skilled and knowledgeable about children with emotional disturbance. The mental health professional providing the clinical supervision must document the clinical supervision in the client's record.
A. Clinical supervision is not required for a case manager who is qualified as a mental health professional.
B. Case managers who are not qualified as mental health professionals under Minnesota Statutes, section 245.4871, subdivision 27, for services to children with emotional disturbance or under Minnesota Statutes, section 245.462, subdivision 18, for services to adults with mental illness, and who have at least 2,000 hours of supervised experience in the delivery of mental health services, as appropriate, to children or adults must meet in person with a mental health professional at least once each month to obtain clinical supervision.
C. Case managers who have a bachelor's degree in one of the behavioral sciences or a related field from an accredited college or university but who do not have 2,000 hours of supervised experience in the delivery of mental health services as appropriate to children with emotional disturbance or adults with serious and persistent mental illness, must receive clinical supervision regarding individual service delivery from a mental health professional at least once each week until the requirement of 2,000 hours of experience is met.
Subp. 4. Case manager; required training.
A case manager with a bachelor's degree, who does not have 2,000 hours of supervised experience in the delivery of services to children with severe emotional disturbance or to adults with serious and persistent mental illness must complete 40 hours of training approved by the department in case management skills as specified in items A and B.
A. If the case manager is providing case management services to children with severe emotional disturbance, the training must address the characteristics and needs of children with severe emotional disturbance.
B. If the case manager is providing case management services to adults with serious and persistent mental illness, the training must address the characteristics and needs of adults with serious and persistent mental illness.
Subp. 5. Continued training.
A case manager with 2,000 hours of supervised experience required under subpart 1 or 2 must complete at least 30 hours of training in a two-year period. The training must be approved by the case management provider and shall be related to the needs, characteristics, and services available to the clients in the caseload assigned to the case manager.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0914 Case Manager's Responsibilities
Subpart 1. General responsibility.
It is the responsibility of the case manager to provide the case management services that assist a child with severe emotional disturbance and the child's family needed in achieving the outcomes specified in part 9520.0904 or that assist an adult with serious and persistent mental illness in achieving the outcomes specified in part 9520.0905.
Subp. 2. Other responsibilities.
The case manager must also carry out the responsibilities specified in item A or B for the purpose of implementing the design to achieve the outcomes specified in part 9520.0904 or 9520.0905.
A. A child's case manager must:
B. The case manager of an adult with serious and persistent mental illness must:
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0916 Case Management Team for Children with Severe Emotional Disturbance
Subpart 1. Team convened.
The case manager of a child's case management services may convene the case management team on the manager's own initiative or upon the request of the child's parent or legal representative or the child, or at the request of any other member of the team. The case manager, the child's parent or legal representative unless clinically inappropriate, and the other members of the case management team, if any, shall meet face-to-face with the child at least once quarterly or more frequently if needed to monitor the child's progress in achieving the outcomes specified in the child's individual family community support plan.
Subp. 2. Team coordinator.
When the case management team is convened, the child's parent or legal representative or the child may request that a representative of an agency other than the local agency serve as the team coordinator. If the agency represented on the team by the person chosen as team coordinator agrees, the team coordinator shall convene the case management team and, to the extent possible, coordinate the services provided to the child and the child's family among the local system of care serving the child and the child's family. In this event, the case manager must work with the team coordinator and must coordinate the child's mental health services with the team coordinator.
Subp. 3. Duties of case management team.
When a case management team is convened under this part, the team must clarify and address the roles and responsibilities of the individual team members. The team shall assist the child's case manager to carry out the responsibilities of the case manager specified in part 9520.0914, subparts 1 and 2, item A. Recommendations of the case management team about mental health services for the child shall be noted in the child's record according to Minnesota Statutes, section 245.4881, subdivision 3, paragraph (b).
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0917 Case Management Team for Adults with Serious and Persistent Mental Illness
The case management functions of a case manager for an adult with serious and persistent mental illness may be provided by a team that includes the adult, the adult's case manager, and other persons who meet at least the qualifications established in part 9520.0912, subpart 2. At the request of the adult with serious and persistent mental illness, the case management team shall involve other persons as specified in Minnesota Statutes, section 245.4711, subdivision 4, in all phases of development and implementation of the adult's individual community support plan. Members of the team other than the adult and the adult's case manager may be from any agency providing services to the adult with serious and persistent mental illness and, in addition, shall be employed by or under contract to the local agency to provide case management services. One member of the team shall be designated as the team leader subject to approval by the local agency. If a county board has authorized the use of case management teams, an adult with serious and persistent mental illness may request a single case manager or a case management team. If the adult chooses to receive case management services from a case management team, the team shall be responsible for carrying out the responsibilities of the case manager under parts 9520.0900 to 9520.0926, except that the team leader shall be responsible for coordinating the team's activities.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0918 Development of Child's Individual Family Community Support Plan
Subpart 1. Required plan.
The development of the child's individual family community support plan must comply with Minnesota Statutes, section 245.4881, subdivision 4. Any other service plan developed by an agency providing services to the child may substitute for the child's individual family community support plan if the other service plan meets the requirements for an individual family community support plan. The plan must incorporate the child's individual treatment plans, if any. The individual family community support plan must focus on the desired changes in the level of functioning of the child. The plan must specify the desired outcomes of services and how the services will be assessed and monitored on an ongoing basis.
Subp. 2. Review and revision.
The case manager with the assistance of the case management team, if any, shall review and, if necessary, revise a child's functional assessment, the child's individual family community support plan specified under subpart 1, and the child's and family's service needs based on evidence of the child's progress toward desired service outcomes. The review and, if necessary, the revision shall occur at least once every 90 calendar days after the development of the child's first individual family community support plan. Whenever possible, the outcome of the review and revision of the child's services must simplify access to the child's services and bring together similar services in a manner that eliminates the duplication or omission of services identified in the child's individual family community support plan.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0919 Development of Adult's Individual Community Support Plan
Subpart 1. Required plan.
The development of the adult's individual community support plan must comply with Minnesota Statutes, section 245.4711, subdivision 4. Any other service plan developed by an agency providing services to the adult may substitute for the adult's individual community support plan if the other service plan meets the requirements for an individual community support plan. The plan must incorporate the adult's individual treatment plans, if any. The individual community support plan must focus on the desired changes in the level of the adult's functioning. The plan must specify the desired outcomes of the services and how the services will be assessed and monitored on an ongoing basis.
Subp. 2. Review and revision.
With the assistance of the case management team, if any, the case manager shall review and, if necessary, revise the adult's functional assessment, the adult's individual community support plan specified in subpart 1, and the adult's service needs based on evidence of the adult's progress toward the desired service outcomes. The review and, if necessary, the revision shall occur at least once every 90 calendar days after the development of the adult's first individual community support plan. Whenever possible, the outcome of the review and revision of the adult's services must identify, and assure the coordination of, services needed to obtain the desired service outcomes.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0920 Case Manager's Records Related to Services and Outcome Monitoring
Subpart 1. Required records; children.
A case manager providing case management services to children with severe emotional disturbance must keep the records required in Minnesota Statutes, section 245.4881, subdivision 3, paragraph (b).
Subp. 2. Monitoring and recording outcomes.
The case manager shall monitor and record the attainment of service outcomes to determine whether:
A. the client's level of functioning is being maintained or has changed;
B. the services are being coordinated in a manner designed to assure continuity of services needed by the child and to support the outcomes identified in the child's individual family community support plan; or
C. in the case of an adult, services are being coordinated in a manner to assure continuity of services needed by the adult and to support the outcomes identified in the adult's individual community support plan;
D. the child who is age 17 and who may be eligible for case management services to persons with serious and persistent mental illness receives information necessary to make the transition to case management services for persons with serious and persistent mental illness; and
E. the child and the child's parent or legal representative or the adult receive information about applicable provisions of the Patients and Residents of Health Care Facilities Bill of Rights, appeals of denials, terminations, reductions or suspension of services, the release of information under the Government Data Practices Act about services, and authorization of services.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0922 Case Manager's Provision of Other Mental Health Services
As requested by the child's parent or legal representative or by the child as described in part 9520.0907 or by an adult, a case manager may provide other mental health services if the case manager meets at least the minimum qualifications required to provide the mental health services specified in Minnesota Statutes, sections 245.462 to 245.4887, and if the case manager is under contract to or employed by the county to provide other mental health services. In the event a case manager provides other mental health services under this part, the other mental health services provided by the case manager shall not be considered as among the functions of the case manager and the case manager's time spent on case management functions shall be prorated in calculating the number of full-time equivalent positions needed to comply with part 9520.0903, subparts 2 and 3.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448; L 2003 1Sp14 art 11 s 11
Minn. R. 9520.0923 Coordination of Case Management Services with Other Programs
If a person is eligible for and receiving case management services from more than one case management system, the case managers of these systems must coordinate, and not duplicate, case management services.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0924 Termination of Case Management Services
Case management services to a child with severe emotional disturbance or an adult with serious and persistent mental illness shall terminate when one of the events listed in items A to E occurs.
A. A mental health professional who has provided mental health services to the client furnishes a written opinion that the client no longer meets the eligibility criteria in Minnesota Statutes, section 245.4871, subdivision 6, for a child or 245.462, subdivision 20, for an adult. Upon receipt of the mental health professional's written opinion that the client no longer needs case management services, the client's case manager must inform the client of the client's ability to appeal the decision according to part 9520.0926.
B. The adult and the case manager mutually decide that the adult, or in the case of a child, the case manager and the child's parent or legal representative or the child as described in part 9520.0907 and the case manager mutually decide that the client no longer needs case management services.
C. The adult or, in the case of a child, the child's parent or legal representative or the child as described in part 9520.0907 refuses further case management services.
D. Except for a child in a residential treatment facility, regional treatment center, or acute care hospital for the treatment of a severe emotional disturbance in a county outside the county of financial responsibility, no face-to-face contact has occurred between the case manager and the child for 90 consecutive days because the child has failed to keep an appointment or refused to meet with the case manager.
E. Except for an adult in a residential treatment facility, regional treatment center, or acute care hospital for the treatment of a serious and persistent mental illness in a county outside the county of financial responsibility, no face-to-face contact has occurred between the case manager and the adult for 180 consecutive days because the adult has failed to keep an appointment or refused to meet with the case manager.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448
Minn. R. 9520.0926 Appeals
Subpart 1. Right to appeal.
A client who applies for or receives case management services has the right to a fair hearing under Minnesota Statutes, section 256.045, if the county terminates, denies, or suspends case management services, or does not act within five days upon a request or referral for case management services. Fiscal limitations described in Minnesota Statutes, section 245.486, shall constitute a basis for the county of financial responsibility to refuse to provide or fund the services at issue in the appeal.
Subp. 2. Notice of adverse action.
The local agency shall mail a written notice to the adult or to the child's parent or legal representative and the child at least ten calendar days before denying, reducing, suspending, or terminating the client's case management services. The written notice shall clearly state:
A. what action the local agency proposes to take;
B. the reasons for the action;
C. the legal authority for the proposed action;
D. that the adult or in the case of a child, the child and the child's parent or legal representative have the right to appeal the action within 30 days after the receipt of the notice or within 90 days if the person has good cause for delaying. At the request of the adult or in the case of a child, the child and the child's parent or legal representative, the child or adult shall continue to receive case management services pending the resolution of the appeal; and
E. where and how to file an appeal.
Subp. 3. General information about appeal rights.
At the time of the request for case management services and at the annual review of the adult's individual community support plan or the child's individual family community support plan, the case manager shall give the adult or, in the case of a child, the child's parent or legal representative and the child a written notice of the right to appeal under this part.
Subp. 4. Commissioner's record of appeals.
The commissioner shall monitor the nature and frequency of appeals under this part.
History
- Statutory Authority: MS s 245.484; 256B.04; 256B.0625
- History: 17 SR 1448; L 2003 1Sp14 art 11 s 11
Chapter 9525 PROGRAMS FOR PERSONS WITH DEVELOPMENTAL DISABILITIES
Minn. R. 9525.0004 Definitions
Subpart 1. Scope.
The terms used in parts 9525.0004 to 9525.0036 have the meanings given them in this part.
Subp. 2. Advocate.
"Advocate" means an individual who has been authorized, in a written statement by the person or the person's legal representative, to speak on the person's behalf and help the person understand and make informed choices in matters related to identification of needs and choice of services and supports.
Subp. 3. Case management.
"Case management" means the administrative activities under part 9525.0016 and the service activities under part 9525.0024 provided to or arranged for a person.
Subp. 4. Case manager.
"Case manager" means the person designated by the county board under part 9525.0012 or by contract to work on behalf of the person needing case management.
Subp. 5. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designated representative.
Subp. 6. County board.
"County board" means the county board of commissioners for the county of financial responsibility or its designated representative. When a human service board has been established under Minnesota Statutes, sections 402.01 to 402.10, it shall be considered the county board for purposes of parts 9525.0004 to 9525.0036.
Subp. 7. County of financial responsibility.
"County of financial responsibility" has the meaning given it in Minnesota Statutes, section 256G.02, subdivision 4.
Subp. 8. Department.
"Department" means the Department of Human Services.
Subp. 9. Home and community-based waivered services.
"Home and community-based waivered services" means services authorized under Minnesota Statutes, section 256B.092, subdivision 4.
Subp. 10. Host county.
"Host county" means the county in which the services described in a person's individual service plan are provided. If supported employment or community integration services are provided in a setting outside the county where the license holder is located, the county where supported employment services are provided is not considered the host county for purposes of parts 9525.0004 to 9525.0036.
Subp. 11. Individual program plan or IPP.
"Individual program plan" or "IPP" means the integrated, coordinated, and comprehensive written plan to provide services to the person that is developed:
A. consistent with all aspects of the person's individual service plan;
B. in compliance with applicable state and federal law and regulations governing services to persons with developmental disabilities; and
C. by the provider in consultation with the interdisciplinary team.
Subp. 12. Individual service plan.
"Individual service plan" means the written plan developed by the service planning team, containing the components required under Minnesota Statutes, section 256B.092, designed to achieve specified outcomes for the person based on assessed needs and preferences.
Subp. 13. Informed choice.
"Informed choice" means a voluntary decision made by the person or the person's legal representative, after becoming familiarized with the alternatives, to:
A. select a preferred alternative from a number of feasible alternatives;
B. select an alternative which may be developed in the future; and
C. refuse any or all alternatives.
Subp. 14. Interdisciplinary team.
"Interdisciplinary team" means a team composed of the case manager, the person, the person's legal representative and advocate, if any, and representatives of providers of the service areas relevant to the needs of the persons as described in the individual service plan.
Subp. 15. Intermediate care facility for persons with developmental disability or ICF/DD.
"Intermediate care facility for persons with developmental disability" or "ICF/DD" has the meaning given it in part 9525.0225, subpart 18.
Subp. 16. Least restrictive environment.
"Least restrictive environment" means an environment where services:
A. are delivered with minimum limitation, intrusion, disruption, or departure from typical patterns of living available to persons without disabilities;
B. do not subject the person or others to unnecessary risks to health or safety; and
C. maximize the person's level of independence, productivity, and inclusion in the community.
Subp. 17. Legal representative.
"Legal representative" means the parent or parents of a person who is under 18 years of age, or a guardian or conservator, or guardian ad litem who is authorized by the court to make decisions about services for a person. Parents or private guardians or conservators who are unable to make decisions about services due to temporary unavailability may delegate their powers according to Minnesota Statutes, section 524.5-211.
Subp. 18. Overriding health care needs.
"Overriding health care needs" means a health care condition that affects the service options available to the person because the condition requires:
A. specialized or intensive medical or nursing supervision; and
B. nonmedical service providers to adapt their services to accommodate the health and safety needs of the person.
Subp. 19. Person.
"Person" means a person with developmental disability or a child under the age of five who has been determined to be eligible for case management under parts 9525.0004 to 9525.0036.
Subp. 20. Provider.
"Provider" means a corporation, governmental unit, partnership, individual, or individuals licensed by the state if a license is required, or approved by the county board if a license is not required, to provide one or more services to persons with developmental disabilities.
Subp. 21. Public guardian.
"Public guardian" has the meaning given it in Minnesota Statutes, section 252A.02, subdivision 7.
Subp. 22. Qualified developmental disability professional.
"Qualified developmental disability professional" means a person who meets the qualifications in Code of Federal Regulations, title 42, section 483.430.
Subp. 23. Residential program.
"Residential program" has the meaning given it in Minnesota Statutes, section 245A.02, subdivision 14.
Subp. 24. Screening team or service planning team.
"Screening team" or "service planning team" means the team established under Minnesota Statutes, section 256B.092, which must consist of the person, the person's case manager, the legal representative, if any, and a qualified developmental disability professional. The case manager may also act as the qualified developmental disability professional if the case manager meets the definition under subpart 22. The provisions of Minnesota Statutes, section 260C.201, shall also apply. Screening members must have no direct or indirect service provider interest with the person. For purposes of the screening team or service planning team, the case manager shall not be deemed to have a direct or indirect service provider interest.
Subp. 25. Semi-independent living services.
"Semi-independent living services" has the meaning given it in Minnesota Statutes, section 252.275, subdivision 1.
Subp. 26. Training and habilitation services.
"Training and habilitation services" has the meaning given it in part 9525.1500, subpart 36.
History
- Statutory Authority: MS s 256B.092
- History: 18 SR 2244; L 1999 c 139 art 4 s 2; L 2005 c 56 s 2; L 2013 c 59 art 3 s 21
Minn. R. 9525.0008 Applicability and Purpose
Subpart 1. Applicability.
Parts 9525.0004 to 9525.0036 establish the standards to be met by county boards or others authorized by the commissioner to provide case management and govern the planning, development, and provision of services to persons with developmental disabilities.
Subp. 2. Purpose.
The purpose of parts 9525.0004 to 9525.0036 is to set standards for the provision of case management to persons with developmental disabilities that are designed to result in the following outcomes:
A. access to needed services and supports;
B. coordinated and cost-effective services and supports;
C. continuity of services and supports; and
D. services delivered consistent with the goals under subpart 3.
Subp. 3. Goals.
Services and supports for persons eligible for case management under parts 9525.0004 to 9525.0036 are to be designed and delivered consistent with the following goals:
A. the recognition of each person's history, dignity, and cultural background;
B. the affirmation and protection of each person's civil and legal rights;
C. the provision of services and supports for each person which:
D. the provision of services and supports for families which address the needs of the person in the context of the family and support family self-sufficiency.
History
- Statutory Authority: MS s 256B.092
- History: 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9525.0010 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0012 County Board Case Management Responsibilities
Subpart 1. Provision of case management.
When the county of financial responsibility determines that a person is eligible for case management according to part 9525.0016, the county shall provide the person or the person's legal representative with a written description of available services and an explanation of these services to facilitate an informed choice. The county board shall arrange to provide case management administration and services according to parts 9525.0004 to 9525.0036.
Case management may be provided directly by the county board or by contract. The provision of case management must begin after designation of a case manager and must continue until services are terminated under subpart 7.
When emergency services are required, the county board shall purchase or arrange services for persons who might be eligible for case management under parts 9525.0004 to 9525.0036, but who have not yet received a diagnosis under part 9525.0016.
A. "Emergency services," for purposes of this subpart, means services provided to persons at imminent risk of physical, emotional, or psychological harm.
B. "Person who might be eligible for case management," for purposes of this subpart, means a person who the case manager has reason to believe has developmental disability and who is undergoing diagnosis, or who is a child under the age of five undergoing diagnosis according to part 9525.0016, subpart 3.
Subp. 2. Designation of case manager.
Within ten working days after receiving an application for services, the county board shall designate a case manager who meets the requirements in subpart 6. The case manager shall assure that a diagnostic assessment under part 9525.0016 is conducted within 35 working days of receipt of an application for services by the county board. The county board shall send a written notice that includes the name, telephone number, and location of the designated case manager or a change in case manager to the person, the person's legal representative and advocate, if any, and current service providers. Upon the county board's determination that a person is in need of case management and an application for services has not yet been filed, the county board must designate a case manager within ten working days.
Subp. 3. Purchase of case management.
The county board must not purchase case management from a provider who has direct or indirect financial interest in the provision of other services for that person.
Subp. 4. County request to provide case management and other services.
The county board must apply to the commissioner in writing to request authorization for the county to be both the provider of residential, training and habilitation, or semi-independent living services, and the provider of case management. The commissioner shall grant authorization if the county board can demonstrate that a method of preventing conflict of interest has been established that includes the following assurances:
A. that the designated case manager and the case manager's direct supervisor must not be involved in the provision of residential, training and habilitation, or semi-independent living services for the person; and
B. that the level of services provided to the person must be consistent with the assessed needs of the person as identified in the individual service plan.
Subp. 5. Procedures governing minimum standards for case management.
The county board shall establish and monitor implementation of written policies and procedures to:
A. assure the provision of case management according to parts 9525.0004 to 9525.0036;
B. evaluate the delivery and outcomes of case management according to part 9525.0008; and
C. implement the determination of need process and program review under part 9525.0036. The county agency must maintain copies of the policies and procedures on file at the county offices, provide copies to individuals providing case management, and make these policies and procedures available upon request.
Subp. 6. Case manager qualifications and training.
Individuals providing case management to persons with developmental disabilities must meet the requirements in item A or B.
A. The designated case manager must have at least a bachelor's degree in social work, special education, psychology, nursing, human services, or other fields related to the education or treatment of persons with developmental disabilities, and one year of experience in the education or treatment of persons with developmental disability.
B. Except for screening and service planning development services, the county board may establish procedures permitting others than those identified in item A to assist in providing case management services under the supervision of a case manager who meets the qualifications in item A. Before assisting the case manager, the person must complete 40 hours of training in case management and the education and treatment of persons with developmental disability. The county board shall establish a plan for the training of case managers and case aides. The plan must include at least 20 hours annually in the area of case management or developmental disability. Training and development activities attended by the case managers and case aides must be documented and kept on file with the county.
Subp. 7. Service authorization.
The county board shall determine the adequacy and quality of services provided to meet the person's needs based on the cost and effectiveness of the services. The county board must not authorize, provide, or pay for services unless identified as needed in the individual service plan, except in the case of emergency services.
Subp. 8. Termination of case management duties.
A case manager retains responsibility for providing case management services to the person until the responsibility of the county board is terminated according to items A to D or until the county board designates another case manager under subpart 2. The county board may terminate case management when:
A. the person or the person's legal representative makes a written request that case management and other services designed for the person be terminated, unless the case manager and the person's legal representative determine that case management must continue for the protection of the person;
B. the person changes state of residence;
C. the person dies; or
D. the diagnosis under part 9525.0016 has changed indicating that the person no longer has developmental disability.
History
- Statutory Authority: MS s 256B.092
- History: 18 SR 2244; L 2003 1Sp14 art 11 s 11; L 2005 c 56 s 2
Minn. R. 9525.0015 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0016 Case Management Administration
Subpart 1. Intake.
Intake for case management must be conducted according to established county procedures.
Subp. 2. Diagnostic definitions.
For purposes of subpart 3, the terms in items A to E have the meanings given them.
A. "Person with a related condition" means a person who has been diagnosed under this part as having a severe, chronic disability that meets all of the following conditions:
B. "Person with developmental disability" means a person who has been diagnosed under this part as having substantial limitations in present functioning, manifested as significantly subaverage intellectual functioning, existing concurrently with demonstrated deficits in adaptive behavior and who manifests these conditions before the person's 22nd birthday.
C. "Deficits in adaptive behavior" means a significant limitation in an individual's effectiveness in meeting the standards of maturation, learning, personal independence, and social responsibility expected for the individual's age level and cultural group, as determined by clinical assessment and, generally, standardized scales.
D. "Significantly subaverage intellectual functioning" means a full scale IQ score of 70 or less based on assessment that includes one or more individually administered standardized intelligence tests developed for the purpose of assessing intellectual functioning. Errors of measurement must be considered according to subpart 5.
E. "Substantial functional limitations" means the long-term inability to significantly perform an activity or task.
Subp. 3. Diagnostic requirements to determine eligibility for case management.
The county agency shall arrange for a comprehensive diagnostic evaluation to be completed within 35 working days following receipt of an application for case management. To be eligible for case management under parts 9525.0004 to 9525.0036, the case manager, based on all parts of the comprehensive diagnostic evaluation, must determine that the person has a diagnosis of developmental disability or is a child under the age of five who demonstrates significantly subaverage intellectual functioning concurrent with demonstrated deficits in adaptive behavior, but for whom, because of the child's age, a diagnosis may be inconclusive.
The comprehensive diagnostic evaluation must consist of:
A. a standardized test of intellectual functioning and an assessment of adaptive skills, or for children under the age of five, standardized assessments of developmental functioning;
B. a social history report prepared no more than 12 months before the date of application for case management that contains:
C. a medical evaluation prepared by a licensed physician no more than 12 months before the date of application for case management that evaluates the individual's general physical health, including vision, hearing, and any physical or neurological disorders. The case manager must request that the evaluation include the physician's comments on the individual's mental health and emotional well-being, if known. Diagnostic information obtained by other providers according to law, including school information, may be used in whole or in part to meet the diagnostic requirements, when the final diagnosis contains all information required under this part.
Subp. 4. Administration of tests of intellectual functioning and assessments of adaptive behavior.
Standardized tests of intellectual functioning and assessments of adaptive behavior, adaptive skills, and developmental functioning must be normed for individuals of similar chronological age and be administered by a person who is trained and experienced in administration of these tests and who is a licensed psychologist, certified school psychologist, or certified psychometrist working under technical supervision of a licensed psychologist. The written narrative report shall reflect any specific behavioral, psychological, sensory, health, or motor deficits, as well as cultural, social, or physical environmental factors that may bias the results of the testing. Testing methods must be modified to accommodate individuals whose background, culture, or language differs from the general population from which specific tests were standardized.
Subp. 5. Diagnostic conclusions and recommendations.
Diagnostic conclusions and recommendations must be based on the results of the comprehensive evaluation required under subpart 3. Narrative reports of intellectual functioning must include a discussion of whether obtained IQ scores are considered valid and consistent with developmental history and the degree of functional restriction. Errors of measurement and actual changes in performance outcome must be considered in the interpretation of test results.
Substantial limitation in current functioning, significantly subaverage intellectual functioning, and disabilities in adaptive skills must not be the result of a mental illness as defined in Minnesota Statutes, section 245.462, subdivision 20, or an emotional disturbance as defined in Minnesota Statutes, section 245.4871, subdivision 15, to conclude a diagnosis of a related condition. If standardized tests of intellectual functioning or assessments of adaptive skills are not available due to the individual's age, or cannot be administered for other reasons such as severe illness, diagnostic conclusions must be based on reasonable and available information or may be reconstructed from information about the individual before the age of 22 obtained from the individual, near relatives, providers, or the individual's social network.
Subp. 6. Review of diagnosis of developmental disability.
The case manager shall review the results of the diagnostic assessment at least once every three years and shall refer the person for reevaluation to determine current intellectual and adaptive functioning under circumstances where the diagnosis is no longer consistent with the person's current level of functioning.
Subp. 7. Screening.
The case manager shall convene a screening team to evaluate the level of care needed by the person if the assessment indicates that the person is at risk of placement in an ICF/DD or nursing facility or is requesting services in the areas of residential, training and habilitation, nursing facility, or family support. The county board may contract with a public or private agency or individual for the public guardianship representation required for the screening or the individual service planning process. If the assessment indicates that the person has overriding health care needs, the county agency must comply with the additional requirements in Minnesota Statutes, section 256B.092, subdivision 7. The case manager shall:
A. convene the screening team within 60 working days of a request for service by a person and within five working days of the date of an emergency admission to an ICF/DD; and
B. notify the members of the screening team of the meeting date and convene the meeting at a time and place that ensures the participation of all screening team members.
Subp. 8. Screening team duties.
The screening team shall review:
A. the results of the diagnostic evaluation and assessment of the person's needs for services and supports;
B. the current individual service plan, if any; and
C. other data related to the person's eligibility and need for services, as determined necessary by the screening team. The screening team shall determine the level of care needed by the person and identify the least restrictive service types. If it is determined that the person is eligible for ICF/DD and home and community-based services, an informed choice between those services must be made by the person or the person's legal representative.
Subp. 9. Screening document.
The screening team shall complete and sign the screening document prescribed by the commissioner and submit the document to the commissioner's designee for authorization of medical assistance payments and to record compliance with the requirements of the federally approved waiver plan and the state Medicaid plan under title XIX of the Social Security Act.
If there is no formal annual meeting of the screening team, the case manager shall complete and submit the screening document to the commissioner to record the annual review of the person's eligibility for the level of care identified, informed choice among feasible alternatives, and review and revision of the service plan.
Subp. 10. Use of screening team recommendations in commitment proceedings.
If a person with developmental disability who has been referred to a screening team is the subject of commitment proceedings under Minnesota Statutes, chapter 253B, the screening team shall make recommendations to the court as needed and make recommendations and a report available to the prepetition screening unit in compliance with the Data Practices Act, Minnesota Statutes, chapter 13.
Subp. 11. Criteria for service authorization.
The case manager shall arrange for authorization of services consistent with:
A. the needs and preferences of the person as identified in the person's individual service plan;
B. established county procedures;
C. contracts and agreements between providers and the county agency;
D. the extent to which the provider can:
E. state and federal law governing authorization for services provided in ICFs/DD, nursing facilities, and for services provided under medical assistance waivers, state support services, and grants.
Subp. 12. Authorization of medical assistance for ICF/DD, home and community-based services, and nursing facility services.
The authorization of medical assistance by the commissioner's designee is effective for one year from the date of the screening team meeting and must be reauthorized annually. Authorization for payment of ICF/DD, home and community-based, and nursing facility services must be made based on the following:
A. the person for whom the payment is requested has been determined eligible for case management according to part 9525.0016;
B. the assessment verifies that the person's need for services is consistent with the level of care and the risk status indicated on the screening document;
C. less restrictive and less costly alternative services have been considered and discussed with the person and the person's legal representative and advocate, if any; and
D. the person and the person's legal representative, if any, have made an informed choice among feasible service alternatives.
Subp. 13. Review of eligibility.
The case manager shall make a determination annually, based on diagnostic and assessment information, of the person's eligibility to receive:
A. case management;
B. types of services currently authorized based on level of care, risk status, and need for services and supports; and
C. new or additional services. The case manager shall place documentation of this determination in the person's county file. The screening form may serve as documentation of this subpart and be incorporated into the individual service plan.
Subp. 14. Conciliation and appeals.
The county agency shall arrange a conciliation conference as required by Minnesota Statutes, section 256.045, subdivision 4a, upon request of the person or the person's legal representative if there is a dispute about the county's actions or failure to act under parts 9525.0004 to 9525.0036 and Minnesota Statutes, section 256B.092. The conference must be facilitated by a representative of the commissioner and must be conducted within 30 days of the request at a time and place that allows for participation of the person, the person's legal representative, if any, and the appropriate representative of the county agency. Other interested persons may participate in the conciliation conference if requested by the person or the person's legal representative. The county agency shall prepare a written summary report of the conference results and submit the report to the participants and the department within 30 days of the request for a conference. Case management appeals must be conducted according to Minnesota Statutes, section 256.045.
History
- Statutory Authority: MS s 256B.092
- History: 18 SR 2244; L 2003 1Sp14 art 11 s 11; L 2005 c 56 s 2
Minn. R. 9525.0020 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0024 Case Management Service Practice Standards
Subpart 1. Assessment of individual needs.
The case manager shall assess or arrange for an assessment of the functional skills and needs of the person and the supports and services which meet the person's identified needs and preferences. Assessment information obtained by other providers, including schools and vocational rehabilitation agencies, may be used to meet the assessment requirements of this subpart. This subpart does not require assessment in areas agreed to as unnecessary by the case manager and the person, or the person's legal representative, or when there has been functional assessment completed in the previous 12 months, for which the case manager and the person or the person's legal representative agree that further assessment is not necessary. Where the county is acting as public guardian, the case manager shall seek authorization from the public guardianship office for waiving any assessment requirements. Assessments related to health, safety, and protection of the person for the purpose of identifying service type, amount, and frequency, or assessments required to authorize services, must not be waived.
The assessment of the person's preference, functional skills, and need for services and supports must address the following areas:
A. basic needs: income or support, money management, shelter, food, clothing, and assistive technology and adaptations;
B. health and safety: physical and dental health, vision, hearing, medication management, mental health and emotional well-being, and ability to keep oneself safe;
C. social skills and interpersonal relationships;
D. communication skills;
E. self-care: toileting, eating, dressing, hygiene, and grooming;
F. home living skills: clothing care, housekeeping, food preparation and cooking, shopping, daily schedule, and home maintenance;
G. community use: transportation and mobility, leisure and recreation, and other community resources;
H. employment/vocational skills;
I. educational skills/cognitive abilities; and
J. legal representation.
Subp. 2. Review of person's needs for services and support.
The case manager shall review the assessment information as it becomes available through program evaluation and monitoring, provider reports, team meetings, and other sources of formal or informal assessment. The service planning team shall also review the assessment information at least annually for purposes of making modifications to the person's individual service plan for needed services and supports. The case manager shall coordinate the performance of assessments. This subpart does not require duplication of assessment responsibilities fulfilled by providers. The case manager shall assure that the person's medical status and ongoing health care needs are assessed annually when not otherwise arranged by family or service providers.
Subp. 3. Individual service plan development.
The designated case manager, who is familiar with the person and the person's need for services and supports, shall lead the individual service planning team activities. Annual service planning activities must result in the development or revision and implementation of the person's individual service plan. Individual service plans may be completed on forms developed for interagency planning, such as transition and individual family service plans, if they contain the components required under items A to K.
The written individual service plan must contain:
A. the person's preferences for services as stated by the person or the person's legal representative;
B. the person's service and support needs based on results of assessment information, including identification of needs that are currently met in whole or in part by the person's relatives, friends, and community services used by the general public;
C. the person's long- and short-range goals;
D. specific supports and services, including case management services, and the amount and frequency of the services to be provided to the person based on available resources, and the person's needs and preferences;
E. specification of services the person needs that are not available and actions to be taken to obtain or develop these services;
F. a determination of whether there is a need for an individual program plan developed by the provider according to applicable state and federal licensing and certification standards;
G. identification of additional assessments to be completed or arranged by the provider after service initiation;
H. specification of any information that providers or subcontractors must submit to the case manager, the frequency with which the information must be provided when not otherwise specified in contract, service agreement, or authorization form, and provider responsibilities to implement and make recommendations for modification to the individual service plan;
I. notice of the right to request a conciliation conference or a hearing under Minnesota Statutes, section 256.045;
J. signatures of the person, the person's legal representative, and the case manager at least annually and whenever changes are made; and
K. documentation that the plan was reviewed by a health professional if the person has overriding medical needs that impact the delivery of services.
Subp. 4.
[Removed, L 2003 1SP14 art 11 s 11]
Subp. 5. Identification of service options and providers.
Case managers shall assist the service planning team members in making informed choices of service options and providers by identifying for the team:
A. service types that would meet the level and frequency of services needed by the person, the funding streams, the general comparative costs, and the location;
B. resources and providers within the county or other areas if requested by the person or the person's legal representative, including resources not currently available;
C. provider capacities to meet assessed needs and preferences of the person, or to develop services if not immediately available; and
D. other community resources or services necessary to meet the person's or the person's family's needs. The case manager may survey providers or may develop a request for a proposal to locate services. When the case manager is unable to locate appropriate service providers, the case manager shall indicate this in the person's individual service plan. The case manager shall follow county procedures for:
Subp. 6. Assisting the person to access services.
The case manager shall assist the person in accessing selected housing, services, and supports through the following activities:
A. coordinating the application process and preplacement planning activities and visits;
B. assuring that financial arrangements, contracts, or provider agreements are in place;
C. promoting the person's access to services that fit the person's needs;
D. assisting the person in securing the services identified in the individual service plan, including services not currently available; and
E. participating with the interdisciplinary team in the development of individual program plans that are consistent with the person's individual service plan.
Subp. 7. Coordination of service delivery.
The case manager shall assure coordinated approaches to services among providers that are consistent with all aspects of the person's individual service plan. Before the initiation of service, and at least annually thereafter, the case manager shall make available to and may review with the providers the person's individual service plan. The case manager shall participate in interdisciplinary team meetings and maintain contact with providers sufficient to facilitate coordination and cooperation necessary to meet the person's needs.
Subp. 8. Monitoring and evaluation activities.
The case manager shall specify the frequency of monitoring and evaluation activities in the person's individual service plan based on the level of need of the person and other factors which might affect the type, amount, or frequency of service. The case manager shall conduct a monitoring visit with each person on at least a semiannual basis. Case manager monitoring and evaluation activities must result in a determination of:
A. whether services are implemented consistent with the person's service plan, and are directed at achieving the goals identified for the person, and are consistent with the goals specified under part 9525.0008, subpart 3;
B. changes needed in the individual service plan to achieve desired outcomes or meet newly identified needs, including changes resulting from the recommendations of providers;
C. the extent to which providers are fulfilling their responsibilities and coordinating approaches to services with other providers;
D. the assurance of the person's health and safety;
E. the protection of the person's civil and legal rights; and
F. whether the person and the person's legal representative are satisfied with the services received. If the provider fails to carry out the provider's responsibilities consistent with the individual service plan or develop an individual program plan when needed, the case manager shall notify the provider and, as necessary, the interdisciplinary team. If the concerns are not resolved by the provider or interdisciplinary team, the case manager shall notify the person or the person's legal representative, the appropriate licensing and certification agencies, and the county board where services are being provided. The case manager shall identify other steps needed to assure that the person receives the needed services and protections.
History
- Statutory Authority: MS s 256B.092
- History: 18 SR 2244; L 2003 1Sp14 art 11 s 11
Minn. R. 9525.0025 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0028 Quality Assurance
The commissioner shall supervise social services administered by county agencies. County boards must comply fully with parts 9525.0004 to 9525.0036. To facilitate the implementation of parts 9525.0004 to 9525.0036, the commissioner shall provide technical assistance to county agencies. The commissioner shall evaluate case management provided by county agencies to determine that services are consistent with part 9525.0008.
If the commissioner determines that a county board has not provided case management consistent with the outcomes under part 9525.0008 or has otherwise failed to comply with the standards of parts 9525.0004 to 9525.0036, the county board shall develop a corrective action plan. The commissioner may take action necessary to assure continuity of services for persons receiving case management under parts 9525.0004 to 9525.0036, and other applicable state and federal law.
History
- Statutory Authority: MS s 256B.092
- History: 18 SR 2244; L 2003 1Sp14 art 11 s 11
Minn. R. 9525.0030 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0032 Host County Concurrence
If services are to be provided in a county other than the county of financial responsibility, the county of financial responsibility must request county concurrence from the county where services are to be provided. Concurrence must be granted according to Minnesota Statutes, section 256B.092, subdivision 8a. If the county of service fails to notify the county of financial responsibility of concurrence or refusal to concur within 20 working days after receipt of the request, concurrence shall be deemed granted.
History
- Statutory Authority: MS s 256B.092
- History: 18 SR 2244
Minn. R. 9525.0035 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0036 Determination of Need
Subpart 1. County recommendation for determination of need for services.
For purposes of this part, "determination of need" means the commissioner's determination of need for services by program type, location, demographics, and size of licensed services for persons with developmental disabilities according to Minnesota Statutes, section 252.28.
The host county shall apply for a determination of need by the commissioner upon identifying the need to:
A. develop new services;
B. terminate services; or
C. modify existing services in the form of expansion or reduction of services, or services for which a change of ownership, program, location, or licensure is proposed. In applying for the determination of need, the host county must use information from the individual service plans of persons for whom the county board is financially responsible and for persons from other counties for whom the county board has agreed to be the host county. The host county shall also consider the community social services plan, waiting lists, screenings, and other sources which identify unmet needs for services. Application for determination of need must be submitted on forms prescribed by the commissioner.
Subp. 2. Duties of commissioner for determination of need.
The commissioner shall make the determination of need for the program, location, type, size, frequency, ownership, and staffing needs of the service proposed in the county's application. In determining the need for services, the commissioner shall consider whether:
A. the proposed service, including size of the service, relates to the needs of the persons to be served;
B. cost projections for the proposed service are within the fiscal limitations of the state;
C. the distribution of and access to the services throughout the state is based on current or projected demographics, and does not contribute to excessive concentration of services;
D. the provider has the overall administrative, financial, and programmatic capability to develop, provide, and maintain the services that are proposed;
E. the application is in compliance with applicable state and federal law and with the state plan;
F. the proposed service is consistent with the goals under part 9525.0008, subpart 3; and
G. the proposed service furthers state policy of access to residences and employment services typical of the general population. Within 30 days of receipt of the completed application for need determination from the county board, the commissioner shall notify the county board of the decision. The commissioner may request further information if the proposal is incomplete or waive any part of the application that would require the county to provide information that is already available to the commissioner. The commissioner's decision may include conditions of approval. If the commissioner determines that the service, modification, or expansion is not needed, or the proposal does not meet state fiscal projections or limitations, approval shall be denied and there must be no licensure of or reimbursement from federal or state funds for the proposed service, modification, or expansion.
Subp. 3. County review of existing programs.
At least every four years, the host county board shall review each service and submit to the commissioner a request for approval of each licensed service located in the county. The county board's review must state whether the county board recommends continuation, modification, discontinuation, decertification, or delicensure of the service. The county board must base its recommendations on the criteria described in subpart 2.
The commissioner shall notify the county board of the decision to approve or deny the need determination, or request additional information within 30 days of receipt of a completed application. The commissioner shall notify the county and the provider of the right to appeal the commissioner's determination according to subpart 4.
If the commissioner accepts the county board's recommendations for program modifications, the host county board shall submit a need determination application according to subpart 1. The service may be modified only after the commissioner has determined the need for the modification according to subpart 2. Counties may review a service at more frequent intervals at their own discretion.
Subp. 4. Appeal of commissioner's determination.
The county board or the provider making the application may appeal the commissioner's determination under this part.
Appeals are governed by Minnesota Statutes, chapter 14. Notice of appeal must be received by the commissioner within 30 days after notification of the commissioner's decision is sent to the county board.
History
- Statutory Authority: MS s 256B.092
- History: 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9525.0040 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0045 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0050 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0055 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0060 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0065 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0070 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0075 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0080 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0085 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0090 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0095 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0100 [Repealed, 11 SR 77]
[Repealed, 11 SR 77]
Minn. R. 9525.0105 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0115 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0125 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0135 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0145 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0155 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0165 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0180 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0185 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0190 [Repealed, 18 SR 2244]
[Repealed, 18 SR 2244]
Minn. R. 9525.0210 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0215 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0220 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0225 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, L 1997 c 248 s 51]
Subp. 3.
[Repealed, L 1997 c 248 s 51]
Subp. 4.
[Repealed, L 1997 c 248 s 51]
Subp. 5.
[Repealed, L 1997 c 248 s 51]
Subp. 6.
[Repealed, L 1997 c 248 s 51]
Subp. 7.
[Repealed, L 1997 c 248 s 51]
Subp. 8.
[Repealed, L 1997 c 248 s 51]
Subp. 9.
[Repealed, L 1997 c 248 s 51]
Subp. 10.
[Repealed, L 1997 c 248 s 51]
Subp. 11.
[Repealed, L 1997 c 248 s 51]
Subp. 12.
[Repealed, L 1997 c 248 s 51]
Subp. 13.
[Repealed, L 1997 c 248 s 51]
Subp. 14.
[Repealed, L 1997 c 248 s 51]
Subp. 15.
[Repealed, 18 SR 2244]
Subp. 15a.
[Repealed, L 1997 c 248 s 51]
Subp. 16.
[Repealed, L 1997 c 248 s 51]
Subp. 17.
[Repealed, L 1997 c 248 s 51]
Subp. 18.
[Repealed, L 1997 c 248 s 51]
Subp. 19.
[Repealed, L 1997 c 248 s 51]
Subp. 20.
[Repealed, L 1997 c 248 s 51]
Subp. 21.
[Repealed, L 1997 c 248 s 51]
Subp. 22.
[Repealed, L 1997 c 248 s 51]
Subp. 23.
[Repealed, L 1997 c 248 s 51]
Subp. 24.
[Repealed, L 1997 c 248 s 51]
Subp. 25.
[Repealed, L 1997 c 248 s 51]
Subp. 26.
[Repealed, L 1997 c 248 s 51]
Subp. 27.
[Repealed, L 1997 c 248 s 51]
Subp. 28.
[Repealed, L 1997 c 248 s 51]
Subp. 29.
[Repealed, L 1997 c 248 s 51]
Subp. 30.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0230 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0235 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, L 1997 c 248 s 51]
Subp. 3.
[Repealed, L 1997 c 248 s 51]
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7.
[Repealed, 18 SR 2748]
Subp. 8.
[Repealed, 18 SR 2748]
Subp. 9.
[Repealed, 18 SR 2748]
Subp. 10.
[Repealed, 18 SR 2748]
Subp. 11.
[Repealed, 18 SR 2748]
Subp. 12.
[Repealed, 18 SR 2748]
Subp. 13.
[Repealed, 18 SR 2748]
Subp. 14.
[Repealed, 18 SR 2748]
Subp. 15.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0240 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0243 [Repealed, 18 SR 2748; L 1997 c 248 s 51]
[Repealed, 18 SR 2748; L 1997 c 248 s 51]
Minn. R. 9525.0245 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0250 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0255 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0260 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0265 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0270 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0275 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0280 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0285 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0290 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0295 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0300 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0305 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0310 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0315 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, 18 SR 2748]
Minn. R. 9525.0320 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0325 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0330 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0335 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0340 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0345 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0350 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0355 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0360 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0370 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0380 [Repealed, 13 SR 2452]
[Repealed, 13 SR 2452]
Minn. R. 9525.0390 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0400 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0410 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0420 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0430 [Repealed, 13 SR 2446]
[Repealed, 13 SR 2446]
Minn. R. 9525.0500 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0510 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0520 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0530 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0540 Repealed by subpart
Subpart 1.
[Repealed, 18 SR 2748]
Subp. 2.
[Repealed, L 1997 c 248 s 51]
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7.
[Repealed, 18 SR 2748]
Minn. R. 9525.0550 Repealed by subpart
Subpart 1.
[Repealed, 18 SR 2748]
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, L 1997 c 248 s 51]
Subp. 4.
[Repealed, 18 SR 2748]
Minn. R. 9525.0560 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0570 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0580 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0590 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0600 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0610 [Repealed, 18 SR 2748; L 1997 c 248 s 51]
[Repealed, 18 SR 2748; L 1997 c 248 s 51]
Minn. R. 9525.0620 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0630 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0640 [Repealed, 18 SR 2748; L 1997 c 248 s 51]
[Repealed, 18 SR 2748; L 1997 c 248 s 51]
Minn. R. 9525.0650 [Repealed, 18 SR 2748; L 1997 c 248 s 51]
[Repealed, 18 SR 2748; L 1997 c 248 s 51]
Minn. R. 9525.0660 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.0750 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0760 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0770 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0780 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0790 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0800 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0810 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0820 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0830 [Repealed, L 2010 c 382 s 87]
[Repealed, L 2010 c 382 s 87]
Minn. R. 9525.0900 Definitions
Subpart 1. Scope.
The terms used in parts 9525.0900 to 9525.1020 have the meanings given to them in this part.
Subp. 2. Administrative operating costs.
"Administrative operating costs" has the meaning given it in part 9553.0040, subpart 3.
Subp. 2a. Base allocation.
"Base allocation" means the funds allocated to counties for the provision of semi-independent living services according to the formula in Minnesota Statutes, section 252.275, subdivision 4.
Subp. 3. Case management.
"Case management" has the meaning given it in part 9525.0004, subpart 3.
Subp. 4. Case manager.
"Case manager" has the meaning given it in part 9525.0004, subpart 4.
Subp. 5.
[Repealed, 18 SR 506]
Subp. 6. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designated representative.
Subp. 7. County board.
"County board" means the county board of commissioners for the county of financial responsibility or its designated representative.
Subp. 8. County of financial responsibility.
"County of financial responsibility" has the meaning given it in Minnesota Statutes, section 256G.02, subdivision 4.
Subp. 9. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 10. Host county.
"Host county" means the county in which the services in a person's individual service plan are provided.
Subp. 11.
[Repealed, 18 SR 506; 18 SR 2244]
Subp. 11a. Individual program plan.
"Individual program plan" has the meaning given it in part 9525.0004, subpart 11.
Subp. 12. Individual service plan.
"Individual service plan" has the meaning given it in part 9525.0004, subpart 12.
Subp. 13. Interdisciplinary team.
"Interdisciplinary team" has the meaning given it in part 9525.0015, subpart 15.
Subp. 14. Intermediate care facility for persons with developmental disabilities or ICF/DD.
"Intermediate care facility for persons with developmental disabilities" or "ICF/DD" means a program licensed to provide services to persons with developmental disabilities under Minnesota Statutes, section 252.28, and a physical plant licensed as a supervised living facility under Minnesota Statutes, chapter 144, which together are certified by the Minnesota Department of Health as an intermediate care facility for persons with developmental disabilities. Unless otherwise stated, the term ICF/DD includes state-operated and community-based facilities.
Subp. 14a. Legal representative.
"Legal representative" means the parent or parents of a person who is under 18 years of age, a guardian or conservator, or a guardian ad litem who is authorized by the court to make decisions about services for a person.
Subp. 14b. Living allowance.
"Living allowance" means the provision of funds in the form of cash or a voucher according to part 9525.0950, where other public funds are unavailable, to enable a person eligible to receive semi-independent living services under part 9525.0920 to secure housing.
Subp. 15. Local matching money.
"Local matching money" means local money made available by a county board for the provision of semi-independent living services.
Subp. 15a. Participant.
"Participant" means a person who is receiving semi-independent living services under parts 9525.0900 to 9525.1020.
Subp. 16. Person with developmental disabilities.
"Person with developmental disabilities" has the meaning given it in part 9525.0016, subpart 2.
Subp. 16a. Person with a related condition.
"Person with a related condition" has the meaning given in Minnesota Statutes, section 252.27, subdivision 1a.
Subp. 17. Provider.
"Provider" means an individual, organization, or agency, including a county board, that provides semi-independent living services and that meets the requirements of part 9525.0930 and Minnesota Statutes, chapter 245B.
Subp. 18.
[Repealed, 18 SR 506]
Subp. 18a. Residential location.
"Residential location" means the physical site, including the structure, where a participant resides.
Subp. 19. Semi-independent living services or SILS.
"Semi-independent living services" or "SILS" means services that include training and assistance in:
A. managing money;
B. preparing meals;
C. shopping;
D. maintaining personal appearance and hygiene; and
E. other activities needed to maintain and improve an adult with developmental disabilities capability to live in the community.
Subp. 20.
[Repealed, 18 SR 506]
Subp. 20a. Targeted allocation.
"Targeted allocation" means funds appropriated by the legislature for special purposes, to be allocated to counties by the commissioner based on proposals submitted by the counties.
Subp. 21. Unit of service.
"Unit of service" means one hour of semi-independent living services delivered according to the participant's individual program plan as limited in part 9525.0950, subpart 1.
History
- Statutory Authority: MS s 252.275; 256B.092
- History: 10 SR 994; 12 SR 1148; 18 SR 506; 18 SR 2244; L 2005 c 56 s 2; L 2010 c 382 s 86
Minn. R. 9525.0910 Purpose and Applicability
Subpart 1. Purpose.
The purpose of parts 9525.0900 to 9525.1020, as authorized by Minnesota Statutes, section 252.275, is to establish procedures for implementing a statewide program of semi-independent living services to provide support for persons with developmental disabilities to live as independently as possible in the community. An objective of the program is to assist county boards in reducing unnecessary use of intermediate care facilities for persons with developmental disabilities and home and community-based services.
Subp. 2. Applicability.
Parts 9525.0900 to 9525.1020 govern the awarding and administration of grants by the commissioner to county boards under Minnesota Statutes, section 252.275, for the provision of semi-independent living services to persons with developmental disabilities. Parts 9525.0900 to 9525.1020 govern semi-independent living services funded in any part according to Minnesota Statutes, section 252.275, for persons meeting the eligibility criteria specified in part 9525.0920.
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; 12 SR 1148; 18 SR 506; L 2005 c 56 s 2
Minn. R. 9525.0920 Participant Eligibility Criteria
A county board may receive state reimbursement for providing semi-independent living services to a person with developmental disability who is 18 years of age or older and who has been determined by the case manager to:
A. need less than a 24-hour plan of care; and
B. be unable to function independently without semi-independent living services. For purposes of parts 9525.0900 to 9525.1020, a person receiving adult foster care services under parts 9545.0010 to 9545.0260 is not deemed to have a 24-hour plan of care. Adult foster care services and SILS may be delivered concurrently if:
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; 12 SR 1148; 18 SR 506; L 2005 c 56 s 2
Minn. R. 9525.0930 Approved Provider
Subpart 1. Conditions of approval.
A provider is approved to receive reimbursement from a county board for SILS provided under parts 9525.0900 to 9525.1020 if the provider has a current license to provide SILS according to Minnesota Statutes, chapter 245B, and sections 245A.01 to 245A.18, and 252.28, except for demonstration projects approved under part 9525.0996.
Subp. 2.
[Repealed, 18 SR 506]
Subp. 3.
[Repealed, 18 SR 506]
Subp. 4.
[Repealed, 18 SR 506]
Subp. 5.
[Repealed, 18 SR 506]
Subp. 6.
[Repealed, 18 SR 506]
Subp. 7.
[Repealed, 18 SR 506]
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; L 1987 c 333 s 22; 12 SR 1148; 13 SR 1448; 18 SR 506; L 2010 c 382 s 86
Minn. R. 9525.0935 Residential Location Standards
Subpart 1. Choice, population, and location.
Services provided must meet the requirements in items A to C:
A. the participant or the participant's legal representative has made an informed choice of a residential location which meets the requirements of items B and C;
B. a residential location must not be adjacent to or within a group residential program licensed under Minnesota Statutes, chapter 245B, except as permitted under part 9525.0950, subpart 5, and a residential location where more than four participants reside must not be adjacent to another SILS residential location where more than four participants reside; and
C. no more than eight participants may be served per residential location, unless fewer than 25 percent of its residents are receiving SILS.
Subp. 2. Effective date.
For participants who are determined eligible for SILS after August 16, 1993, counties will receive reimbursement only for the provision of SILS to participants who live in a residential location which meets the requirements of subpart 1.
For participants who were determined eligible for SILS before the effective date of parts 9525.0900 to 9525.1020, counties will receive reimbursement only for the provision of SILS to participants that live in a residential location which meets the requirements of subpart 1, by August 16, 1994.
Subp. 3. Variance from residential location standards.
A county board may submit a written request to the commissioner for a variance from subpart 1, item C, according to the requirements of part 9525.0995. The commissioner's determination must be based on the following:
A. that there is no other housing available in the same community which complies with the standards under subpart 1 and which meets the needs of the participant; and
B. that granting the variance would not result in a high concentration of persons with developmental disabilities at any residential location or within any town, municipality, or county of the state.
History
- Statutory Authority: MS s 252.275
- History: 18 SR 506; L 2005 c 56 s 2; L 2010 c 382 s 86
Minn. R. 9525.0940 County Board and Provider Contract
Subpart 1. Written contract requirements.
In order for the host county to receive reimbursement for the cost of SILS provided under parts 9525.0900 to 9525.1020, an approved provider, other than the host county itself, must have a written contract.
The written contract must also contain:
A. specification of activities under part 9525.0950, subpart 1, which are to be included in the unit of service for purposes of the contract;
B. specification that the provider must report the number of units of activity agreed upon under item A, when submitting invoices to the county for payment of SILS provided; and
C. the provider's budget for providing the services specified in the contract, including administrative operating costs. Allowable administrative operating costs must be limited to costs properly attributable to semi-independent living services. Items A and B must be included in all contracts entered into or renewed after December 31, 1993.
Subp. 1a. Exception.
A contract under subpart 1 is not required for demonstration projects authorized under part 9525.0996. When a contract is not entered into, an agreement between the participant, provider, and county board is required in lieu of a contract. This agreement must contain the following:
A. a description of the services to be provided;
B. assurances of health and safety for the participants;
C. costs for providing services under the demonstration project;
D. the time period of the agreement;
E. conditions for termination of the agreement; and
F. requirements for notice to the participant according to the agreement under part 9525.0996, subpart 3.
Subp. 2.
[Repealed, 18 SR 506]
Subp. 3.
[Repealed, 18 SR 506]
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; 18 SR 506; L 2003 1Sp14 art 11 s 11
Minn. R. 9525.0950 Reimbursement Standards
Subpart 1. Limits on unit of service activities.
Activities for which staff time may be charged in determining a unit of service as defined in part 9525.0900, subpart 21, are limited to:
A. Direct contact activities involving contact with the participant, either face-to-face or over the phone, which facilitates the participant's attainment of individual service plan goals and objectives.
B. Collateral activities involving direct verbal or written contact with professionals or others regarding the participant which facilitates the participant's attainment of individual service plan goals and objectives.
C. Individual program planning activities, including attending the participant's interdisciplinary team meetings, assessing the participant's functioning levels, developing and reviewing the participant's quarterly and annual individual program plans, and charting and reporting the participant's progress toward individual service plan goals.
D. Staff member's transportation time to and from locations where SILS are provided. Costs of transportation time between a staff member's residence and the location of the first site visit of the service day may be charged only when the distance is less than the distance between the first site visit and the provider's central office.
Subp. 2. Reimbursable costs.
County boards may be reimbursed for costs of providing semi-independent living services and living allowances under parts 9525.0900 to 9525.1020 directed at maintaining and improving a participant's functioning level. The cost of services for any person exceeding the state share of the average medical assistance costs for services provided by intermediate care facilities for persons with developmental disabilities for the same fiscal year are not reimbursable to the county board under parts 9525.0900 to 9525.1020. The cost of semi-independent living services provided by a participant's family members or guardian are not reimbursable under parts 9525.0900 to 9525.1020.
Subp. 2a. Semi-independent living services.
Services for which costs are reimbursable include training and assistance in the areas listed in items A to L:
A. nutrition, meal planning, and preparation;
B. shopping;
C. first aid;
D. money management and budgeting;
E. self administration of medications;
F. use of the telephone and other public utilities;
G. personal appearance and hygiene;
H. obtaining and maintaining housing;
I. use of community emergency resources;
J. rights and responsibilities of community living;
K. social, recreational, and transportation skills; and
L. appropriate social behaviors.
Subp. 2b. Living allowances.
County-paid living allowances eligible for state reimbursement must not exceed $1,500 per participant in each calendar year. Participants are eligible for a living allowance once per period of continuous participation in SILS. The provision of a living allowance must be used for the purpose of enabling the participant to receive semi-independent living services. The provision of a living allowance is limited to the following expenditures:
A. damage or security deposits for housing rental;
B. utility deposits and connection costs;
C. household furnishings; and
D. other items necessary to enable the participant to secure a home in which to receive semi-independent living services.
Subp. 3. Authorization for services.
Costs of providing semi-independent living services are reimbursable only when the services provided have been authorized by the case manager. The authorization must indicate the amount, types and cost of SILS to be provided, and the expected participant outcome or outcomes. The written authorization for services to a participant must be added to the participant's case record.
Subp. 4.
[Repealed, 18 SR 506]
Subp. 5. Services to persons in an ICF/DD.
Costs of semi-independent living services provided to a person with developmental disability while the person resides in an ICF/DD must be reimbursed only when the amount of service provided while the person resides in an ICF/DD does not exceed a total of 20 hours and when the services provided result in the person's moving directly from the ICF/DD into a semi-independent living arrangement.
Subp. 6. Relationship of SILS to day programs and employment activities.
Costs of semi-independent living services provided on a schedule that precludes the participant from participation in the day programs or employment activities specified in the participant's individual service plan, or provided as a substitute for the specified day programs or employment activities, must not be reimbursed. This subpart does not prohibit reimbursement for SILS provided during the day to participants who are working on a part-time basis or seeking employment if SILS participation does not preclude the participant's part-time work or employment seeking.
Subp. 7. No reimbursement for case management services costs and county administrative costs.
Any case management costs incurred by counties or by SILS providers under contract with counties are not reimbursable as costs of semi-independent living services. When the county board provides SILS directly, the county must be reimbursed for costs of services provided according to the units of service defined in part 9525.0900 and must not be reimbursed for administrative costs. SILS provided by the county case manager assigned to the participant must not be reimbursed under parts 9525.0900 to 9525.1020.
Subp. 8. No reimbursement for room and board.
With the exception of living allowances provided for under subpart 2, expenditures for room and board are not reimbursable as costs of semi-independent living services. Room and board expenses are the costs of:
A. normal and special diet food preparation and service;
B. linen, bedding, laundering, and laundry supplies;
C. housekeeping, including cleaning and lavatory supplies;
D. maintenance and operation of the building and grounds, including fuel, electricity, water, and supplies, parts, and tools to repair and maintain equipment and facilities; and
E. allocation of salaries and other costs related to these areas.
Subp. 9. SILS cost allocations.
Providers that provide both SILS and ICF/DD services must show SILS cost allocations according to the cost category allocation principles and procedures in parts 9553.0010 to 9553.0080, Determination of Payment Rates for Intermediate Care Facilities for Persons with Developmental Disabilities. The following costs are not reimbursable as costs of SILS:
A. costs specified as nonallowable costs in parts 9553.0010 to 9553.0080; and
B. costs not specifically identified as reimbursable costs of SILS in parts 9525.0900 to 9525.1020.
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; 12 SR 1148; 18 SR 506; L 2005 c 56 s 2
Minn. R. 9525.0960 [Repealed, 18 SR 506]
[Repealed, 18 SR 506]
Minn. R. 9525.0965 Allocations to Counties
Subpart 1. Base allocations.
The commissioner shall allocate funds to county boards for the provision of semi-independent living services on a calendar year basis according to the allocation formula in Minnesota Statutes, section 252.275, subdivisions 4 and 4b. The commissioner shall notify county boards by December 1 of each calendar year of the allocation for the subsequent calendar year.
Subp. 2. Formula limitation.
For calendar year 1993 and all subsequent years, the amounts allocated under subpart 1 are subject to the limitations required under Minnesota Statutes, section 252.275, subdivision 4a.
Subp. 3. Targeted allocations.
To be considered for a targeted allocation under Minnesota Statutes, section 252.275, a county must submit an application on a form prescribed by the commissioner. The commissioner shall notify county boards of application deadlines.
Subp. 4. Review and determination of targeted grant applications.
The commissioner shall review county applications for targeted allocations and make a determination based on the following:
A. county compliance with the requirements of parts 9525.0900 to 9525.1020 and Minnesota Statutes, section 252.275; and
B. the amount of funds appropriated by the legislature under Minnesota Statutes, section 252.275. The commissioner shall give county boards written notice of approval or denial of the application for a targeted allocation within 30 calendar days of the department's receipt of the county's application.
History
- Statutory Authority: MS s 252.275
- History: 18 SR 506
Minn. R. 9525.0970 State Reimbursement and Payment
Subpart 1. Reimbursement.
State reimbursement payment to a county board for allowable costs under part 9525.0950 must be made according to subpart 4 and must be based on actual expenditures and the rate of state reimbursement specified in this subpart. The amount of state reimbursement to a county board must not exceed the limits established under Minnesota Statutes, section 252.275, subdivision 3.
State reimbursement must be at a minimum rate of 70 percent of a county board's cost of providing SILS as mandated by parts 9525.0900 to 9525.1020 and Minnesota Statutes, section 252.275, subdivision 4, up to the allocation determined by Minnesota Statutes, section 252.275, subdivision 4.
Subp. 2.
[Repealed, 18 SR 506]
Subp. 3.
[Repealed, 18 SR 506]
Subp. 4. Payments to counties.
Payments made to county boards by the commissioner must be in the form of quarterly installments. The commissioner may certify an advance up to 25 percent of the allocation according to Minnesota Statutes, section 252.275, subdivision 3. Subsequent payments to each county board shall be made on a reimbursement basis for reported expenditures contingent upon the board's submitting a completed quarterly financial report on forms provided by the commissioner.
Subp. 5. Quarterly payment adjustments.
The commissioner shall review county expenditures after each quarter. If actual expenditures by a county board to provide SILS are less than costs upon which the county board's base and targeted allocations are based, the commissioner shall adjust the quarterly payments so that the percentage of cost paid by the state remains within the limits in subpart 1. Under Minnesota Statutes, section 252.275, subdivision 4c, the commissioner may reallocate unexpended money at any time among those counties which have earned their full base allocation, and may reallocate targeted allocations at any time that it is determined, after consultation with the affected county, that the allocated funds will not be used as projected.
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; 18 SR 506
Minn. R. 9525.0980 Fiscal and Program Reporting
Subpart 1. Records documenting compliance.
The county board, and the providers under contract with the county board to provide SILS, shall maintain records to document compliance with parts 9525.0900 to 9525.1020, including compliance with the applicable laws and rules referenced in part 9525.1020.
Subp. 2. Reports.
The county board shall use forms provided by the commissioner to report the use of funds under Minnesota Statutes, section 252.275, for the previous allocation period. The reports required are quarterly fiscal reports to ensure tracking of state expenditure for SILS and annual program reports describing the participants served, the amount and types of services provided, and summary data of participant outcomes. County boards shall submit quarterly fiscal reports to the commissioner according to Minnesota Statutes, section 256.01, subdivision 2, paragraph (17). County boards shall submit annual program reports to the commissioner by January 31 following the end of each calendar year.
Subp. 3. Financial records.
The financial records maintained by the county board and by providers under contract with the county board to provide SILS must:
A. use generally accepted accounting principles;
B. identify all sources and amounts of revenue;
C. document all expenditures; and
D. allow the verification of indirect costs allocated to SILS by the provider.
Subp. 4. Audits.
The county board and the providers under contract with the county board to provide SILS shall make available for audit inspection all records required by parts 9525.0900 to 9525.1020 upon request by the commissioner.
Subp. 5. Retention of records.
Unless an audit in process requires a longer retention period, the county board and the providers under contract with the county board to provide SILS shall retain a copy of the following records for at least four years:
A. the annual program report and the quarterly fiscal reports required in part 9525.0980, subpart 2;
B. records of all payments made and all income received; and
C. all other records required in parts 9525.0900 to 9525.1020.
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; 18 SR 506
Minn. R. 9525.0990 [Repealed, 18 SR 506]
[Repealed, 18 SR 506]
Minn. R. 9525.0995 County Variances
Subpart 1. Generally.
A county board may apply to the commissioner for a variance from parts 9525.0920, 9525.0930, 9525.0935, 9525.0940, 9525.0950, and 9525.0970 according to subparts 2 to 6.
Subp. 2. County request for variance.
A county board may apply for a variance by submitting a written application to the commissioner documenting the reason the county is unable to comply with the identified requirement. The application for the variance must show the county's proposal for an alternative to full compliance:
A. meets the individual needs of participants; and
B. ensures services are provided in the least restrictive environment.
Subp. 3. Granting a variance.
The commissioner's grant of a county board's variance request must be based on the following:
A. the request was submitted according to subpart 2;
B. the county board has provided reasonable evidence of the need for a variance; and
C. the request is in compliance with state and federal laws governing services for persons with developmental disabilities.
Subp. 4. Notice to county boards.
The commissioner shall review the county board's request for a variance and notify the county board, in writing, within 30 calendar days whether the request for a variance has been granted or denied. If the variance request is approved, the notice must state the specific conditions of approval. If the variance request is denied, the notice must state the reasons why the variance request was denied and inform the county board of the right to request a review of the commissioner's decision. A request for a review of the commissioner's denial of a variance request is governed by part 9525.1010.
Subp. 5. Continuation of variance.
The procedures for requesting, granting, or denying a continuation of variance must be the same as the procedures in subparts 2, 3, and 4. The procedure for notifying the county board whether the continuation has been granted or denied must be the same as the procedure in subpart 4. Failure of a county board to comply with any condition of approval of a variance granted under subpart 3 may result in revocation of the variance.
Subp. 6. Notice to affected participants and providers.
A county board applying for or granted a variance under this part must give written notice to each provider and participant whose services will be modified by the variance. Such notice must also be given to the participant's legal representative. The notice must state the terms of the requested or granted variance and, if the variance has not yet been approved, inform the participants that the request has been submitted to the commissioner. The notice provided to each participant and the participant's legal representative must inform them of any known alternative SILS services or providers which may be available in the same community. If the variance has already been approved, the notice must be given to the provider, each participant, and the participant's legal representative before services are provided under the variance.
History
- Statutory Authority: MS s 252.275
- History: 18 SR 506; L 2005 c 56 s 2
Minn. R. 9525.0996 Demonstration Projects
Subpart 1. Request for demonstration projects.
A county board may submit a written request to the commissioner to demonstrate alternative methods of providing semi-independent living services. Counties may request a variance from the licensing and contract requirements under parts 9525.0900 to 9525.1000 as a part of the proposed demonstration project. Requests for a demonstration project must contain documentation of the following information:
A. a description of the services to be provided;
B. eligibility criteria for participation in the demonstration project;
C. the portion of the county's SILS allocation to be attributed to the demonstration project;
D. assurances of health and safety for the participants;
E. assurances that the services will result in the participants' increased independence;
F. assurances that the services will be provided in compliance with applicable state and federal law; and
G. methods for evaluating the effectiveness of the services.
Subp. 2. Approval of demonstration projects.
The commissioner's approval of a request for a demonstration project must be based on the following conditions:
A. services provided under the demonstration project must meet the individual needs and preferences of participants;
B. the demonstration project must ensure that services will be delivered in the least restrictive environment;
C. the request must be submitted according to subpart 1; and
D. the demonstration project must comply with state and federal laws governing services to persons with developmental disabilities.
Subp. 3. Agreement to participate in a demonstration project.
A county board approved to participate in a demonstration project under this part must obtain the agreement of each participant that will receive services under the approved demonstration project. The agreement must specify the terms of the demonstration project, the portions of parts 9525.0900 to 9525.1020 to be varied, and the manner in which services will be delivered. The agreement must be in writing and must be signed by the affected participant and the participant's legal representative before services are provided under the demonstration project.
History
- Statutory Authority: MS s 252.275
- History: 18 SR 506; L 2005 c 56 s 2
Minn. R. 9525.1000 Repayment of Funds
Subpart 1. Excess funds.
The commissioner shall require repayment of any funds paid in advance to a county that would exceed the reimbursement rate under part 9525.0970, subpart 1.
Subp. 2. Improper use of funds.
Under Minnesota Statutes, section 252.275, subdivision 9, the commissioner may require repayment of any funds not used according to the requirements of parts 9525.0900 to 9525.1020.
Subp. 3. Notification.
Before the commissioner requires repayment of funds under subpart 1 or 2, the commissioner shall give 30 days' written notice to the county board. The written notice must inform the county board of its right to request a review of the commissioner's action under part 9525.1010.
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; 18 SR 506
Minn. R. 9525.1010 Review of Commissioner's Action
A request for a review of the commissioner's proposed action under part 9525.1000 shall be submitted by the county board to the commissioner within 30 days of the date the county receives notification from the commissioner. The request must state the reasons why the county board disagrees with the commissioner's action and present evidence supporting the county board's case for reconsideration by the commissioner. The commissioner shall review the evidence presented in the county board's request and send written notification to the county board regarding the commissioner's decision. The commissioner's decision after a review shall be final. The commissioner shall not take the proposed action until a final review is completed and written notification issued by the commissioner.
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994
Minn. R. 9525.1020 Penalty for Noncompliance with Applicable Laws and Rules
If a county board or a provider under contract with a county board to provide SILS does not comply with Minnesota Statutes, section 252.275, parts 9525.0900 to 9525.1020, and with other applicable laws and rules governing services to persons with developmental disabilities, the commissioner has the authority to suspend or withhold payments or require repayment. A county board notified by the commissioner of noncompliance with requirements in this part, shall demonstrate compliance or develop a corrective action plan.
History
- Statutory Authority: MS s 252.275
- History: 10 SR 994; 18 SR 506; L 2003 1Sp14 art 11 s 11; L 2005 c 56 s 2
Minn. R. 9525.1200 Purpose and Applicability
Subpart 1. Purpose.
The purpose of parts 9525.1200 to 9525.1330 is to establish procedures to reimburse, through the medical assistance program, quality day training and habilitation services which are efficiently and economically provided to eligible persons who reside in intermediate care facilities for persons with developmental disabilities.
Subp. 2. Applicability.
Parts 9525.1200 to 9525.1330 apply to county boards which are required to administer day training and habilitation services; to county boards which are required to recommend medical assistance rates for day training and habilitation services; and to day service providers selected by the county board to provide day training and habilitation services for persons who have developmental disabilities. Parts 9525.1200 to 9525.1330 do not apply to state hospitals' provision of day training and habilitation services.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 68; 12 SR 1148; L 2005 c 56 s 2
Minn. R. 9525.1210 Definitions
Subpart 1. Scope.
The terms used in parts 9525.1200 to 9525.1330 have the meanings given to them in this part.
Subp. 2. Client.
"Client" means a person who is receiving day training and habilitation services.
Subp. 3. Commissioner.
"Commissioner" means the commissioner of human services or the commissioner's designated representative.
Subp. 4. County board.
"County board" means the board of county commissioners of the county in which day training and habilitation services are provided or the county board's designated representative.
Subp. 5. County of financial responsibility.
"County of financial responsibility" has the meaning given it in Minnesota Statutes, section 256G.02, subdivision 4.
Subp. 6. Day service provider.
"Day service provider" means the corporation, governmental unit, or other legal entity that claims medical assistance reimbursement for providing day training and habilitation services.
Subp. 7. Day training and habilitation services.
"Day training and habilitation services" means health and social services provided to a person with a developmental disability by a licensed provider at a site other than the person's place of residence unless medically contraindicated and documented as such in the individual service plan. The services must be designed to result in the development and maintenance of life skills, including: self-care, communication, socialization, community orientation, emotional development, cognitive development, motor development, and therapeutic work or learning activities that are appropriate for the person's chronological age. Day training and habilitation services are provided on a scheduled basis for periods of less than 24 hours each day.
Subp. 8. Developmental achievement center.
"Developmental achievement center" means a provider of day training and habilitation services which complies with Minnesota Statutes, sections 252.21 to 252.261.
Subp. 9. Individual service plan.
"Individual service plan" has the meaning given it in part 9525.0004, subpart 12.
Subp. 10. Intermediate care facility for the developmentally disabled or ICF/DD.
"Intermediate care facility for the developmentally disabled or "ICF/DD" means the provider of a program licensed to serve persons who have developmental disabilities under Minnesota Statutes, section 252.28, and a physical plant licensed as a supervised living facility under Minnesota Statutes, chapter 144, which together are certified by the Minnesota Department of Health as an intermediate care facility for the developmentally disabled. Unless otherwise stated, the term ICF/DD includes state-operated and community-based facilities.
Subp. 11.
[Repealed, L 1987 c 403 art 5 s 22 para (b)]
Subp. 12.
[Repealed, L 1987 c 403 art 5 s 22 para (b)]
Subp. 12a. Prevocational services.
"Prevocational services" means services directed toward developing and maintaining the skills and overall functioning of clients in areas such as compliance with task instructions, prompt attendance at scheduled activities, task completion, problem solving, social appropriateness, and safety. Training must be conducted using materials, tasks, situations, and settings that are age appropriate and enhance the clients' self esteem. Adults will typically receive prevocational training on work and work related tasks, tasks related to community participation such as travel and shopping, home care, and self care. Wages may be paid to clients.
Subp. 13. Resident.
"Resident" means a client who resides at the physical plant of an ICF/DD.
Subp. 14. Service site.
"Service site" means the physical location or locations where day training and habilitation services are provided.
Subp. 15.
[Repealed, 12 SR 2044]
History
- Statutory Authority: MS s 256B.092; 256B.501
- History: 10 SR 68; 12 SR 1148; 12 SR 2044; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9525.1220 Client Eligibility
The day service provider may receive medical assistance reimbursement for providing day training and habilitation services to an eligible person if the person meets the criteria in items A to F:
A. the person is eligible to receive medical assistance under Minnesota Statutes, chapter 256B;
B. the person is determined to have developmental disability in accordance with the definitions in parts 9525.0004 to 9525.0036;
C. the person is a resident of an intermediate care facility for developmentally disabled;
D. the person is not of school age as defined in Minnesota Statutes, section 125A.03;
E. the person is determined to be in need of day training and habilitation services as specified in the individual service plan under parts 9525.0004 to 9525.0036; and
F. the person does not receive day training and habilitation services at the ICF/DD from an approved day service provider or as part of the medical assistance rate of the ICF/DD.
History
- Statutory Authority: MS s 256B.092; 256B.501
- History: 10 SR 68; 10 SR 2417; 12 SR 1148; 18 SR 2244; L 1998 c 397 art 11 s 3; L 2005 c 56 s 2
Minn. R. 9525.1230 Approval of Day Service Provider
Subpart 1. General requirements.
A day service provider is approved by the commissioner to receive medical assistance reimbursement for day training and habilitation services when the day service provider meets the requirements in items A to J and complies with parts 9525.1200 to 9525.1330.
A. The day service provider must have a current license to provide day training and habilitation services in accordance with Minnesota Statutes, sections 252.28 and 245A.01 to 245A.16 and rules adopted thereunder.
B. The day service provider must have a current need determination approved by the commissioner under part 9525.0036 and Minnesota Statutes, section 252.28.
C. The day service provider and the ICF/DD must not be under the control of the same or related entities which provide residential services to the day service provider's clients. For this purpose, "control" means having power to direct or affect management, operations, policies, or implementation, whether through the ownership of voting securities, by contract or otherwise; "related legal entities" are entities that share a majority of governing board members or are owned by the same person or persons. If both the ICF/DD and the day service provider are wholly or partially owned by individuals, those individuals must not be related by marriage or adoption as spouses or as parents and children. Two exceptions to this requirement are:
D. The day service provider must have a written agreement with the ICF/DD and the county in which the ICF/DD is located as required by Minnesota Statutes, section 252.45, clause (4), and part 9525.1240.
E. The day service provider must have a written day training and habilitation agreement with each ICF/DD whose residents are enrolled by the day service provider as provided by Code of Federal Regulations, title 42, section 442.417.
F. The day service provider must be authorized by each ICF/DD whose residents are enrolled by the day service provider to receive medical assistance payments from the Department of Human Services under Code of Federal Regulations, title 42, section 447.10, paragraph (e).
G. The day service provider must make available at least 195 full days of medical assistance reimbursable service in a calendar year.
H. The day service provider must be selected by the county board, as provided by Minnesota Statutes, section 252.24, because of its demonstrated ability to provide the day training and habilitation services required by the client's individual service plan as provided in parts 9525.0004 to 9525.0036.
I. The day service provider must have service and transportation rates recommended by the county board and approved by the commissioner as provided by Minnesota Statutes, section 252.46.
J. The day service provider must be in compliance with the standards in Code of Federal Regulations, title 42, sections 483.410(d) and 483.440.
Subp. 2.
[Repealed, L 1987 c 403 art 5 s 22 para (b)]
History
- Statutory Authority: MS s 256B.092; 256B.501
- History: 10 SR 68; L 1987 c 333 s 22; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9525.1240 Day Training and Habilitation Agreement
Subpart 1. Agreement contents.
An agreement must be entered into by the day service provider, the ICF/DD whose residents will receive day training and habilitation services under the agreement, and the county where the ICF/DD is located, as specified under Minnesota Statutes, section 252.45, clause (4). This agreement must be completed annually on forms provided by the commissioner and must include at least the information in items A to E:
A. the number of hours of day training and habilitation services provided per day, excluding transportation to and from the location of the ICF/DD, which will be considered as a full day;
B. the approved maximum number of days per year medical assistance reimbursable services will be available;
C. the day service provider's months of operation during which day training and habilitation services are provided;
D. a statement of payment rates which have been approved by the commissioner under Minnesota Statutes, section 252.46;
E. respective duties and responsibilities of the county board, the day service provider, and the ICF/DD which include:
Subp. 2. Agreement submission, termination, or new agreements.
The county board shall submit a copy of each completed agreement to the commissioner by January 1 of each year and within 60 days of the commissioner's approval of revised rates or rates for a new day service provider. The county board shall notify the commissioner within 60 days if the agreement in subpart 1 is suspended or terminated. The commissioner shall not pay for services provided during any period in which there is no agreement in effect or during which the agreement in effect does not comply with subpart 1.
History
- Statutory Authority: MS s 256B.092; 256B.501
- History: 10 SR 68; L 1987 c 333 s 22; 18 SR 2244; L 1997 c 248 s 51; L 2005 c 56 s 2
Minn. R. 9525.1250 Reimbursable Services
Subpart 1. Types of services.
Day training and habilitation services are reimbursable under the medical assistance program when the services are provided for the development and maintenance of life skills. Reimbursable services include transportation to and from the service site and supervision, assistance, and training in one or more of the following when they are provided to promote age appropriate outcomes and community integration:
A. prevocational services, if the services meet all of the following requirements:
B. community orientation, including proper use of traffic signals, identification of police, firefighters, and bus drivers, use of pedestrian pathways and public transportation to and from stores, restaurants, meeting places, and other familiar settings;
C. communication skills, including expressive and receptive language skill development;
D. self-care, including grooming, eating, toileting, dressing, medication monitoring, skin care, and oral hygiene;
E. cognitive skills, including functional reading, writing, and number skills;
F. motor development, including gross and fine motor activities, and range of motion exercises;
G. emotional development, including behavioral programming, to develop situationally acceptable affective expression; and
H. socialization, including social interaction skills, development of relationships, initiation or participation in leisure activities, and phone use.
Subp. 2. Service requirements.
Day training and habilitation services are reimbursable under the medical assistance program if the services provided are in compliance with subpart 1 and the conditions listed in items A to F are met.
A. Day training and habilitation services must be authorized in writing by the county of financial responsibility and must include subitems (1) to (3):
B. Day training and habilitation services must not be included in the approved rate of the ICF/DD.
C. Medical assistance money for day training and habilitation services must not replace the Minnesota Division of Vocational Rehabilitation money for sheltered work or work activity services.
D. Medical assistance reimbursable day training and habilitation services must not exceed the number of days per calendar year as provided by Minnesota Statutes, section 256B.501, subdivision 5, paragraph (e).
E. Day training and habilitation services needed by the person eligible under part 9525.1220 and identified in the client's individual service plan must be available to the client in amount, duration, and scope equal to day training and habilitation services made available to other persons served by the same day service provider.
F. Day training and habilitation services must not include:
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 68; 12 SR 2044; 17 SR 1279; L 2005 c 56 s 2
Minn. R. 9525.1260 [Repealed, L 1987 c 403 art 5 s 22 para (b)]
[Repealed, L 1987 c 403 art 5 s 22 para (b)]
Minn. R. 9525.1270 [Repealed, L 1987 c 403 art 5 s 22 para (b)]
[Repealed, L 1987 c 403 art 5 s 22 para (b)]
Minn. R. 9525.1280 [Repealed, L 1987 c 403 art 5 s 22 para (b)]
[Repealed, L 1987 c 403 art 5 s 22 para (b)]
Minn. R. 9525.1290 Day Service Provider Billing
Subpart 1. Billing requirements.
The day service provider must comply with the requirements in items A to E when submitting bills to the commissioner for reimbursement for the provision of day training and habilitation services.
A. Bills must be submitted on forms supplied by the commissioner, which identify for each client:
B. The day service provider must not bill for days in which the client does not receive day training and habilitation or transportation services.
C. The day service provider must not bill for more than one service rate and one transportation rate per client per day.
D. Day service providers whose rates have been recommended under part 9525.1260, subpart 2 and approved under part 9525.1270, subpart 1, must submit bills to the commissioner using a procedural code available from the Health Care Programs Division.
E. Each bill from the day service provider must be verified by the ICF/DD where the client resides before the bill is submitted to the commissioner. A signature by authorized ICF/DD personnel constitutes verification by the ICF/DD that the services were provided on the days and for the charges specified.
Subp. 2. Payment.
The commissioner shall pay the day service provider for bills submitted under subpart 1 using the payment procedures in Minnesota Statutes, sections 256B.041 and 256B.501, subdivision 5, paragraph (f). No payment will be made by the commissioner for day training and habilitation services not authorized under subpart 1, item E.
Subp. 3. Errors and duplicate payments.
If the day service provider becomes aware of a billing error that results in an overpayment or an underpayment to the day service provider or if the day service provider receives payment from another source for services which were also paid for by the medical assistance program, the day service provider shall promptly notify the commissioner and request an adjustment request form. Within one year of receipt of a completed adjustment request form, the commissioner shall:
A. in the case of an overpayment, require the day service provider to repay an amount equal to the overpayment or adjust future payments to correct the error or eliminate the overpayment; or
B. in the case of an underpayment, pay the day service provider an amount equal to the underpayment or adjust future payments to correct the error.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 68; 11 SR 1612; L 2005 c 56 s 2
Minn. R. 9525.1300 Required Records and Reports
Subpart 1. Day service provider records.
The day service provider shall maintain program records, fiscal records, and supporting documentation identifying the items in items A to C:
A. authorization from the county of financial responsibility, as provided by part 9525.1250, subpart 2, for each client for whom service is billed;
B. attendance sheets and other records documenting that the clients received the billed services from the day service provider; and
C. records of all bills and, if applicable, all refunds to and from other sources for day training and habilitation services. The day service provider's records shall be subject to the maintenance schedule, audit availability requirements, and other provisions in parts 9505.2160 to 9505.2245.
Subp. 2. Availability of records.
The day service provider's financial records must be available, on request, to the commissioner and the United States Department of Health and Human Services in accordance with parts 9500.0750 to 9500.1080, 9505.2160 to 9505.2245, and 9525.1200 to 9525.1330.
Subp. 3. Retention of records.
The day service provider shall retain a copy of the records required in subpart 1 for five years from the date of the bill unless an audit in process requires a longer retention period.
Subp. 4. Annual report.
The day service provider shall maintain such records as may be necessary to submit the annual report by March 1 as provided by Minnesota Statutes, section 256B.501, subdivision 9.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 68
Minn. R. 9525.1310 [Repealed, L 1987 c 403 art 5 s 22 para (b)]
[Repealed, L 1987 c 403 art 5 s 22 para (b)]
Minn. R. 9525.1320 Penalties for Noncompliance
If the day service provider does not comply with parts 9525.1200 to 9525.1330, with other applicable laws and rules, and with the terms of the agreement required by part 9525.1240, subpart 1, the commissioner will suspend or withhold payments under the procedures in parts 9505.2160 to 9505.2245. "Other applicable laws and rules" include items A to E:
A. Minnesota Statutes, section 245.825 and rules adopted thereunder governing use of aversive and deprivation procedures;
B. Minnesota Statutes, chapter 260E and section 626.557 and rules adopted thereunder governing reporting of maltreatment of minors and vulnerable adults;
C. Minnesota Government Data Practices Act, Minnesota Statutes, sections 13.01 to 13.57;
D. Minnesota Statutes, chapter 363, Minnesota Human Rights Act; and
E. Minnesota Statutes, section 256B.064.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 68
Minn. R. 9525.1330 Appeals
Subpart 1. Day service provider appeals to county board.
If a day service provider disagrees with the rate recommendation of the county board, the day service provider may appeal to the county board. A rate appeal must be heard by the county board if the appeal is based on the contention that the rate recommended by the county board does not comply with Minnesota Statutes, section 256B.501, subdivisions 5 to 8, and parts 9525.1200 to 9525.1330.
Within ten days of the receipt of a request for an appeal, the county board shall notify the day service provider of a hearing to be held within 30 days of the request for an appeal. The county board shall preside at the hearing. The county board shall notify the day service provider of its decision within 30 days after the hearing. The decision must be in writing and state the evidence relied upon and reasons for the determination.
Subp. 2. Day service provider appeals to commissioner.
If a day service provider has appealed to the county board and the day service provider disagrees with the county board's decision, the day service provider may appeal to the commissioner. The appeal must be submitted to the commissioner in writing within 30 days of the date the day service provider received notification of the county board's decision. The appeal must state the reasons the day service provider is appealing the county board's decision including the bases for the county board's decision which are disputed and an explanation of why the day service provider disagrees with the county board's decision.
The commissioner shall review the county board's rate recommendation and supporting documentation submitted by the day service provider to the county and any additional documents submitted to the commissioner with the appeal to determine if the day service provider can prove by a preponderance of evidence that the day service provider be granted a different payment rate than recommended by the county board. The commissioner shall send written notification to the day service provider and the county board of the decision on the appeal and state the evidence relied upon and the reasons for the determination.
Subp. 3. County board appeals to commissioner.
If the county board disagrees with the rate decision of the commissioner, the county board may appeal to the commissioner. The appeal must be submitted to the commissioner within 30 days of the date the county board received notification of the commissioner's decision. The appeal must state the reasons why the county board is appealing the commissioner's decision and present evidence explaining why the county board disagrees with the commissioner's decision. The commissioner shall review the evidence presented in the county board's appeal and send written notification to the county board of the decision on the appeal. The commissioner's decision on the appeal shall be final. Until a rate appeal is resolved and if the day service provider continues services, payments must continue at a rate which the commissioner determines to comply with parts 9525.1200 to 9525.1330. If a higher rate is approved, the commissioner shall order a retroactive payment as determined in the rate appeal decision.
Subp. 4. Appeal of commissioner's action.
Before the commissioner suspends or withholds payments under part 9525.1320, the commissioner shall give 30 days' written notice to the day service provider and send a copy of the written notice to the affected day service provider. The written notice shall inform the day service provider of its right to appeal the commissioner's action. The appeal must be submitted to the commissioner within 30 days of the date the day service provider received notification of the commissioner's action. The appeal must state the reasons why the day service provider is appealing the commissioner's action and present evidence why the day service provider disagrees with the commissioner's decision. The commissioner shall review the evidence presented in the day service provider's appeal and send written notification to the day service provider of the decision on the appeal. The commissioner's decision on the appeal shall be final. The commissioner may not take the proposed action before the appeal is resolved.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 68
Minn. R. 9525.1500 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, L 1997 c 248 s 51]
Subp. 3.
[Repealed, L 1997 c 248 s 51]
Subp. 4.
[Repealed, L 1997 c 248 s 51]
Subp. 5.
[Repealed, L 1997 c 248 s 51]
Subp. 6.
[Repealed, L 1997 c 248 s 51]
Subp. 7.
[Repealed, L 1997 c 248 s 51]
Subp. 8.
[Repealed, L 1997 c 248 s 51]
Subp. 9.
[Repealed, L 1997 c 248 s 51]
Subp. 10.
[Repealed, L 1997 c 248 s 51]
Subp. 11.
[Repealed, L 1997 c 248 s 51]
Subp. 12.
[Repealed, L 1997 c 248 s 51]
Subp. 13.
[Repealed, L 1997 c 248 s 51]
Subp. 14.
[Repealed, L 1997 c 248 s 51]
Subp. 15.
[Repealed, L 1997 c 248 s 51]
Subp. 16.
[Repealed, L 1997 c 248 s 51]
Subp. 17.
[Repealed, L 1997 c 248 s 51]
Subp. 18.
[Repealed, L 1997 c 248 s 51]
Subp. 19.
[Repealed, L 1997 c 248 s 51]
Subp. 20.
[Repealed, 18 SR 2244]
Subp. 20a.
[Repealed, L 1997 c 248 s 51]
Subp. 21.
[Repealed, L 1997 c 248 s 51]
Subp. 22.
[Repealed, L 1997 c 248 s 51]
Subp. 23.
[Repealed, L 1997 c 248 s 51]
Subp. 24.
[Repealed, L 1997 c 248 s 51]
Subp. 25.
[Repealed, L 1997 c 248 s 51]
Subp. 26.
[Repealed, L 1997 c 248 s 51]
Subp. 27.
[Repealed, L 1997 c 248 s 51]
Subp. 28.
[Repealed, L 1997 c 248 s 51]
Subp. 29.
[Repealed, L 1997 c 248 s 51]
Subp. 30.
[Repealed, L 1997 c 248 s 51]
Subp. 31.
[Repealed, L 1997 c 248 s 51]
Subp. 32.
[Repealed, L 1997 c 248 s 51]
Subp. 33.
[Repealed, L 1997 c 248 s 51]
Subp. 34.
[Repealed, L 1997 c 248 s 51]
Subp. 35.
[Repealed, L 1997 c 248 s 51]
Subp. 36.
[Repealed, L 1997 c 248 s 51]
Subp. 37.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1510 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1520 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, L 1997 c 248 s 51]
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 15 SR 2043]
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7.
[Repealed, 18 SR 2748]
Subp. 8.
[Repealed, 18 SR 2748]
Subp. 9.
[Repealed, 18 SR 2748]
Subp. 10.
[Repealed, 18 SR 2748]
Subp. 11.
[Repealed, L 1997 c 248 s 51]
Subp. 12.
[Repealed, 18 SR 2748]
Subp. 13.
[Repealed, L 1997 c 248 s 51]
Subp. 14.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1530 [Repealed, 18 SR 2748; L 1997 c 248 s 51]
[Repealed, 18 SR 2748; L 1997 c 248 s 51]
Minn. R. 9525.1540 [Repealed, 18 SR 2748; L 1997 c 248 s 51]
[Repealed, 18 SR 2748; L 1997 c 248 s 51]
Minn. R. 9525.1550 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, L 1997 c 248 s 51]
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, L 1997 c 248 s 51]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7.
[Repealed, L 1997 c 248 s 51]
Subp. 8.
[Repealed, L 1997 c 248 s 51]
Subp. 9.
[Repealed, 18 SR 2748]
Subp. 10.
[Repealed, 18 SR 2748]
Subp. 11.
[Repealed, 18 SR 2748]
Subp. 12.
[Repealed, L 1997 c 248 s 51]
Subp. 13.
[Repealed, 18 SR 2748]
Minn. R. 9525.1560 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1570 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1580 [Repealed, L 2014 c 291 art 10 s 14]
[Repealed, L 2014 c 291 art 10 s 14]
Minn. R. 9525.1590 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1600 Repealed by subpart
Subpart 1.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 2.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 3.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 4.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 5.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 6.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 7.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 8.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 9.
[Repealed, 18 SR 2748; L 2004 c 288 art 1 s 83]
Minn. R. 9525.1610 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, 18 SR 2748]
Minn. R. 9525.1620 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1630 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1640 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, 18 SR 2748]
Minn. R. 9525.1650 Repealed by subpart
Subpart 1.
[Repealed, 18 SR 2748]
Subp. 2.
[Repealed, L 1997 c 248 s 51]
Subp. 3.
[Repealed, L 1997 c 248 s 51]
Subp. 4.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1660 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, L 1997 c 248 s 51]
Subp. 3.
[Repealed, L 1997 c 248 s 51]
Subp. 4.
[Repealed, L 1997 c 248 s 51]
Subp. 5.
[Repealed, L 1997 c 248 s 51]
Subp. 6.
[Repealed, L 1997 c 248 s 51]
Subp. 7.
[Repealed, L 1997 c 248 s 51]
Subp. 8.
[Repealed, 18 SR 2748]
Subp. 9.
[Repealed, L 1997 c 248 s 51]
Subp. 10.
[Repealed, L 1997 c 248 s 51]
Subp. 11.
[Repealed, L 1997 c 248 s 51]
Subp. 12.
[Repealed, 18 SR 2748]
Subp. 13.
[Repealed, L 1997 c 248 s 51]
Subp. 14.
[Repealed, L 1997 c 248 s 51]
Subp. 15.
[Repealed, L 1997 c 248 s 51]
Subp. 16.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1670 Repealed by subpart
Subpart 1.
[Repealed, 18 SR 2748]
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, L 1997 c 248 s 51]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1680 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1690 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.1800 Definitions
Subpart 1. Scope.
The terms used in parts 9525.1800 to 9525.1930 have the meanings given to them in this part.
Subp. 1a. Adaptive modifications and equipment.
"Adaptive modifications and equipment" means one or more of the structural changes to the person's residence or an eligible vehicle, or specialized equipment or devices. Adaptive modifications and equipment must be designed to enable the person to avoid placement in an ICF/DD by increasing the person's mobility or protecting the person or other individuals from injury. Adaptive modifications and equipment are only reimbursable for persons with physical disabilities, sensory deficits, or behavior problems. Adaptive modifications and equipment are limited to those that have been approved by the United States Department of Health and Human Services as part of Minnesota's alternative community services and developmental disabilities waiver plans.
Subp. 1b. Alternative community services waiver plan or ACS waiver.
"Alternative community services waiver plan" or "ACS waiver" means a waiver of requirements under United States Code, title 42, sections 1396 et seq., that allows the state to pay for home and community-based services for persons with developmental disabilities who are determined by the Department of Human Services to be inappropriately placed in Medicaid-certified nursing facilities through the medical assistance program. This term includes all amendments to the waiver as approved by the United States Department of Health and Human Services.
Subp. 2. Billing rate.
"Billing rate" means the rate billed by the provider for providing the services. The rate may be based on a day, partial day, hour, or fraction of an hour of service.
Subp. 3. Case manager.
"Case manager" means the person designated by the county board to provide case management services as defined in subpart 4a.
Subp. 4.
[Repealed, 16 SR 2238]
Subp. 4a. Case management.
"Case management" has the meaning given it in part 9525.0004, subpart 3.
Subp. 5. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designated representative.
Subp. 5a. Community social services administration plan or CSSA plan.
"Community social services administration plan" or "CSSA plan" means the biennial community social services plan required of the county board.
Subp. 5b. Conversion.
"Conversion" means the provision of home and community-based services to a person discharged from an ICF/DD directly into those services, resulting in decertification of an ICF/DD bed under Minnesota Statutes, section 252.28, subdivision 4.
Subp. 6. County board.
"County board" means the county board of commissioners for the county of financial responsibility or the county board of commissioners' designated representative.
Subp. 7. County of financial responsibility.
"County of financial responsibility" has the meaning given it in Minnesota Statutes, section 256G.02, subdivision 4.
Subp. 8. Daily intervention.
"Daily intervention" means supervision, assistance, or training provided to a person in the person's residence or in the community by a provider, family member, or foster family member to help the person manage daily activities. To qualify as daily intervention the supervision, assistance, or training must be provided each day for more than 90 consecutive days.
Subp. 8a. Day training and habilitation.
"Day training and habilitation" has the meaning given to "training and habilitation services" in Minnesota Statutes, section 245B.02, subdivision 6.
Subp. 9. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 10. Diversion.
"Diversion" means the act of providing home and community-based services to a person who would be placed in an ICF/DD within one year if the home and community-based services were not provided.
Subp. 10a. Eligible vehicle.
"Eligible vehicle" means a vehicle owned by the person, the person's family, or the person's primary caregiver with whom the person resides.
Subp. 11. Family.
"Family" means a person's birth parents, adoptive parents or stepparents, siblings, children, or spouse.
Subp. 12. Fiscal year.
"Fiscal year" means the state's fiscal year from July 1 through the following June 30.
Subp. 13. Geographic region.
"Geographic region" means one of the economic development regions established by executive order of the governor according to Minnesota Statutes, section 462.385.
Subp. 13a. Habilitation services.
"Habilitation services" means health and social services directed toward increasing and maintaining the physical, intellectual, emotional, and social functioning of persons with developmental disabilities. Habilitation services include therapeutic activities, assistance, training, supervision, and monitoring in the areas of self-care, sensory and motor development, interpersonal skills, communication, socialization, reduction or elimination of maladaptive behavior, community living and mobility, health care, leisure and recreation, money management, and household chores. Day training and habilitation services and residential-based habilitation services are types of habilitation services.
Subp. 14. Home and community-based services.
"Home and community-based services" means services provided to persons with developmental disabilities that are authorized under United States Code, title 42, section 1396 et. seq., and the DD and ACS waivers granted by the United States Department of Health and Human Services.
Subp. 14a. Homemaker services.
"Homemaker services" means general household activities and ongoing monitoring of the person's well-being provided by a homemaker who meets the standards in parts 9565.1000 to 9565.1300.
Subp. 15. Host county.
"Host county" means the county in which the home and community-based service is provided.
Subp. 16.
[Repealed, 16 SR 2238]
Subp. 17. Individual service plan.
"Individual service plan" has the meaning given it in Minnesota Statutes, section 256B.092, subdivision 1b.
Subp. 17a. In-home family support services.
"In-home family support services" means residential-based habilitation services designed to enable the person to remain in the family home and may include training and counseling for the person and the person's family.
Subp. 18. Intermediate care facility for the developmentally disabled or ICF/DD.
"Intermediate care facility for the developmentally disabled" or "ICF/DD" means a program licensed to serve persons with developmental disability under Minnesota Statutes, section 252.28, and a physical plant licensed as a supervised living facility under Minnesota Statutes, chapter 144, which together are certified by the Minnesota Department of Health as an ICF/DD. Unless otherwise stated, the term ICF/DD includes state-operated and community-based facilities.
Subp. 19.
[Repealed, 16 SR 2238]
Subp. 19a. Leave days.
"Leave days" means days when a person is temporarily absent from services.
Subp. 19b. Developmental disability or DD.
"Developmental disability" or "DD" has the meaning given to "developmental disability" in part 9525.0016, subpart 2, and the meaning given to "related condition" in Minnesota Statutes, section 252.27, subdivision 1a.
Subp. 19c. Nursing facility.
"Nursing facility" means a facility licensed under Minnesota Statutes, chapter 144A, that is certified by the Minnesota Department of Health under title XVIII or XIX of the Social Security Act.
Subp. 19d. Person.
"Person" means a person with a developmental disability as defined in subpart 19b, who is receiving home and community-based services through either the DD or ACS waiver plan.
Subp. 20. Primary caregiver.
"Primary caregiver" means a person other than a member of the person's family who has primary responsibility for the assistance, supervision, or training of the person in the person's residence.
Subp. 21. Provider.
"Provider" means a person or legal entity providing home and community-based services for reimbursement under parts 9525.1800 to 9525.1930.
Subp. 21a. Residential-based habilitation services.
"Residential-based habilitation services" means services provided in the person's residence and in the community, that are directed toward increasing and maintaining the person's physical, intellectual, emotional, and social functioning. Residential-based habilitation services include therapeutic activities, assistance, counseling, training, supervision, and monitoring in the areas of self-care, sensory and motor development, interpersonal skills, communication, socialization, working, reduction or elimination of maladaptive behavior, community participation and mobility, health care, leisure and recreation, money management, and household chores. Supported living services and in-home family support services are residential-based habilitation services.
Subp. 21b. Respite care.
"Respite care" means short-term supervision, assistance, and care provided to a person due to the temporary absence or need for relief of the person's family, foster family, or primary caregiver. Respite care may include day, overnight, in-home, or out-of-home services, as needed.
Subp. 22. Room and board costs.
"Room and board costs" means costs associated with providing food, shelter, and personal needs items for persons, including the directly identifiable costs of:
A. normal and special diet food preparation and service;
B. linen, bedding, laundering, and laundry supplies;
C. housekeeping, including cleaning and lavatory supplies;
D. maintenance and operation of the building and grounds, including fuel, electricity, water, supplies, and parts and tools to repair and maintain equipment and facilities; and
E. allocation of salaries and other costs related to these areas.
Subp. 23. Screening team.
"Screening team" means the team established under Minnesota Statutes, section 256B.092, subdivision 7, to evaluate a person's need for home and community-based services.
Subp. 24. Service site.
"Service site" means the location at which home and community-based services are provided.
Subp. 25. Short term.
"Short term" means a cumulative total of less than 90 24-hour days or 2,160 hours in a fiscal year. Additional hours may be authorized by the commissioner as approved in the current waiver plans.
Subp. 26. Statewide average reimbursement rate.
"Statewide average reimbursement rate" means the dollar amount arrived at by dividing the total amount of money available under the waiver for the fiscal year by 365 days and then dividing the quotient by the department's projection of the total number of persons to receive home and community-based services as stated in the waiver for that fiscal year.
Subp. 26a. Supported living services for adults.
"Supported living services for adults" means residential-based habilitation services provided on a daily basis to adults living in a service site for up to six persons.
Subp. 26b. Supported living services for children.
"Supported living services for children" means residential-based habilitation services provided on a daily basis to persons under 18 years of age living in a service site for up to four persons.
Subp. 27. Title XIX home and community-based waivered services for persons with developmental disabilities or DD waiver plan.
"Title XIX home and community-based waivered services for persons with developmental disabilities" or "DD waiver plan" means the waiver of requirements under United States Code, title 42, sections 1396 et seq., which allows the state to pay for home and community-based services for persons with developmental disabilities through the medical assistance program. The term includes all amendments to the waiver including any amendments made after the effective date of the last waiver plan, as approved by the United States Department of Health and Human Services under United States Code, title 42, section 1396 et. seq.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238; 18 SR 2244; L 1994 c 465 art 1 s 62; L 1994 c 631 s 31; L 2003 1Sp14 art 11 s 11; L 2005 c 56 s 2; L 2010 c 382 s 26
Minn. R. 9525.1810 Applicability and Effect
Subpart 1. Applicability.
Parts 9525.1800 to 9525.1930 apply to all county boards administering medical assistance funds for home and community-based services for persons with developmental disabilities, to all providers that contract with a county board to provide home and community-based services for persons with developmental disabilities, and to all subcontractors who contract with a provider to provide home and community-based services for persons with developmental disabilities.
Subp. 2. Effect.
The entire application of parts 9525.1800 to 9525.1930 shall continue in effect only as long as the DD or ACS waiver from the United States Department of Health and Human Services is in effect in Minnesota.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 12 SR 1148; 16 SR 2238; L 2005 c 56 s 2
Minn. R. 9525.1820 Eligibility
Subpart 1. Eligibility criteria for DD waiver.
A person is eligible to receive home and community-based services through the DD waiver if the person meets all the criteria in items A to E and if home and community-based services are provided according to part 9525.1830:
A. the person is a resident of an ICF/DD or the screening team determines that the person would be placed in an ICF/DD within one year if home and community-based services were not provided;
B. the person has been determined to meet the diagnostic requirements under parts 9525.0004 to 9525.0036;
C. the person is eligible to receive medical assistance under Minnesota Statutes, chapter 256B, or subpart 2;
D. the screening team has determined that the person needs daily intervention; and
E. the person's individual service plan documents the need for daily intervention and specifies the services needed daily.
Subp. 1a. Eligibility criteria for the ACS waiver.
A person is eligible to receive home and community-based services through the ACS waiver if the person meets all requirements in subpart 1, items B to E, and:
A. was admitted to a Medicaid-certified nursing facility before January 1, 1990, or amended date as approved by the Health Care and Finance Administration; and
B. is currently residing in a Medicaid-certified nursing facility, but has been determined by the screening team as requiring ICF/DD level of care.
Subp. 2. Medical assistance eligibility for children residing with their parents.
The county board shall determine eligibility for medical assistance for a person under age 18 who resides with a parent or parents without considering parental income and resources if:
A. the person meets the criteria in subpart 1, items A to E;
B. the person will be provided home and community-based services according to part 9525.1830;
C. the person would not be eligible for medical assistance if parental income and resources were considered; and
D. the commissioner has approved in writing a county board's request to suspend for the person the deeming requirements in Code of Federal Regulations, title 42, section 436.821 according to the waiver.
Subp. 3. Beginning date.
Eligibility for medical assistance begins on the first day of the month in which the person first receives home and community-based services.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 12 SR 1148; 16 SR 2238; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9525.1830 Provision of Home and Community-Based Services
Subpart 1. Conditions.
The county board shall provide or arrange to provide home and community-based services to a person if the person is eligible for home and community-based services under part 9525.1820 and all the conditions in items A to F have been met:
A. the county board has determined that it can provide home and community-based services to the person within its allocation of home and community-based services money as determined under parts 9525.1890 and 9525.1910. If the county board has determined that it cannot provide home and community-based services to the person within its allocation of home and community-based services money, the county board may request additional money. The commissioner may authorize additional money only for persons:
B. the screening team has recommended home and community-based services instead of ICF/DD services for the person under parts 9525.0004 to 9525.0036;
C. the commissioner has authorized payment for home and community-based services for the person;
D. the person or the person's legal representative has agreed to the home and community-based services determined by the screening team to be appropriate for the person;
E. the county board has authorized provision of home and community-based services to the person based on the goals and objectives specified in the person's individual service plan; and
F. the county board has a signed agreement with the state that complies with part 9525.1900.
Subp. 2. Written procedures and criteria.
The county board shall establish written procedures and criteria for making determinations under subpart 1, item A. The procedures and criteria must be consistent with requirements in parts 9525.1800 to 9525.1930, the waiver, federal regulations governing home and community-based services, and the goals established by the commissioner in part 9525.1880, subpart 3.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9525.1840 Parental Contribution Fee
Subpart 1. Out-of-home placements.
The parent or parents of a person under age 18 shall be liable for a parental contribution fee determined according to Minnesota Statutes, sections 252.27, subdivision 2, and 256B.14, if the person resides outside the home of the parent or parents.
Subp. 2. In-home services.
Parents of persons under age 18 may be liable for a parental contribution fee determined according to Minnesota Statutes, sections 252.27, subdivision 2, and 256B.14, if the person is residing with a parent and the person's medical assistance eligibility for home and community-based services was determined without considering parental income or resources under part 9525.1820, subpart 2.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238
Minn. R. 9525.1850 Provider Reimbursement
A provider may receive medical assistance reimbursement for home and community-based services only if the provider meets the criteria in items A to K. The training, experience, and supervision required in items B to E only apply to persons who are employed by, or under contract with, the provider to provide services that can be billed under part 9525.1860, subpart 3, item A. Providers licensed under parts 9525.0215 to 9525.0355; 9525.1500 to 9525.1690; and 9525.2000 to 9525.2140 are exempt from items C, D, and E.
A. The provider has a current license or licenses for the specific home and community-based services as required under Minnesota Statutes or Minnesota Rules or, if no license is required, has received approval from the county board to provide home and community-based services.
B. The provider ensures that the provider and all employees or subcontractors meet all professional standards established in Minnesota Statutes, Minnesota Rules, and Code of Federal Regulations that apply to the services to be provided. If no training standards have been established, the provider, employee, or subcontractor must have completed, within the last two years, at least 24 hours of documented training. The training must be in areas related to the care, supervision, or training of persons with developmental disabilities including first aid, medication administration, behavior management, cardiopulmonary resuscitation, human development, and obligations under Minnesota Statutes, chapter 260E and section 626.557. The county board may grant a written variance to the training requirements in this item for:
C. If no training standards have been established, the provider, employee, or subcontractor must have completed, within the last two years, at least 24 hours of documented training. The training must be in areas related to the care, supervision, or training of persons with developmental disabilities including first aid, medication administration, behavior management, cardiopulmonary resuscitation, human development, and obligations under Minnesota Statutes, chapter 260E and section 626.557. The county board may grant a written variance to the training requirements in this item for:
D. The provider ensures that the provider and all employees or subcontractors have at least one year of experience within the last five years in the care, training, or supervision of persons with developmental disabilities as defined in Minnesota Statutes, section 252.27. The county board may grant a written variance to the requirements in this item for:
E. The provider ensures that all home and community-based services, except homemaker services, respite care services, and adaptive modifications and equipment, will be provided by, or under the supervision of a qualified developmental disability professional who meets the requirements in Code of Federal Regulations, title 42, section 483.430, and has been approved by the case manager.
F. The provider ensures that the provider and all employees or subcontractors will complete the amount of ongoing training required in any Minnesota rules applicable to the home and community-based services to be provided. If no ongoing training is required by the applicable Minnesota rules, the provider, except a provider of adaptive modifications and equipment, agrees that the provider and all employees or subcontractors will complete at least 18 hours of documented ongoing training each fiscal year. To meet the requirements of this item, the ongoing training must be in a field related to the care, training, and supervision of persons with developmental disabilities, and must either be identified as needed in the person's individual service plans or be approved by the case manager based on the needs identified in the individual service plans of the persons served by the provider. The county board may grant a written variance to the requirements in this item for a respite care provider who provides the respite care in his or her residence or in the person's residence.
G. The provider ensures that the provider and all employees or subcontractors have never been convicted of a violation, or admitted violating Minnesota Statutes, chapter 260E or section 626.557 and there is no substantial evidence that the provider, employees, or subcontractors have violated Minnesota Statutes, chapter 260E or section 626.557.
H. The provider has a legally binding contract with the host county that complies with part 9525.1870.
I. The provider has been authorized in writing to provide home and community-based services for the person by the county of financial responsibility.
J. The provider agrees in writing to comply with United States Code, title 42, sections 1396 et seq., and regulations implementing those sections and with applicable provisions in parts 9505.2160 to 9505.2245 and 9525.1800 to 9525.1930.
K. The provider is not the person's guardian or a member of the person's family. This item does not preclude the county board from providing services if the person is a ward of the commissioner.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 12 SR 1148; 16 SR 2238; L 2005 c 56 s 2; L 2013 c 59 art 3 s 21
Minn. R. 9525.1860 Reimbursable Services
Subpart 1. General limits.
Only costs for services listed in the approved Minnesota DD or ACS waiver plan shall be reimbursed under the medical assistance program.
A. Services reimbursable through the DD waiver plan are:
B. Services reimbursable through the ACS waiver plan are:
Subp. 2.
[Repealed, 16 SR 2238]
Subp. 3. Billing for services.
Billings submitted by the provider, except a provider of adaptive modifications and equipment, must be limited to time actually and reasonably spent:
A. In direct contact with the person to assist the person in attaining the goals and objectives specified in the person's individual service plan. Direct contact time includes time spent traveling to and from service sites.
B. [Repealed, L 2013 c 108 art 13 s 14]
C. [Repealed, L 2013 c 108 art 13 s 14]
Subp. 4. Service limitations.
The provision of home and community-based services is limited as stated in items A to H.
A. Case management services may be provided as a single service for a period of no more than 90 days.
B. Day training and habilitation services must:
C. Homemaker services may be provided only if:
D. [Repealed, L 2013 c 108 art 13 s 14]
E. The average dollar amount available for reimbursement for adaptive modifications and equipment shall be determined annually based on the approved waiver plan. Adaptive modifications and equipment must be constructed or installed to meet or exceed applicable federal, state, and local building codes.
F. Home and community-based services are not reimbursable if provided to a person while the person is a resident of or on leave from an ICF/DD, nursing facility, or a hospital. This item shall not apply to leave days authorized according to item C for a person who is hospitalized.
G. Respite care must:
H. Room and board costs are not allowable costs for home and community-based services except respite care provided out of the person's residence. All room and board costs must be directly identified on reports submitted by the provider to the county board.
Subp. 5.
[Repealed, 16 SR 2238]
Subp. 5a. Other medical or related costs.
The cost of other medical or related services reimbursable under the Minnesota State Medicaid Plan must not be included in the rate or rates billed by the provider or providers for reimbursement under parts 9525.1800 to 9525.1930.
Subp. 6. Other applicable rules.
Home and community-based services must be provided as required under items A to H unless a variance has been approved by the commissioner.
A. Homemaker services must be provided in compliance with parts 9565.1000 to 9565.1300.
B. Day training and habilitation services must be licensed by the department.
C. Supported living services for children must be provided by a service provider licensed under Minnesota Statutes, chapter 245B and at a site licensed under parts 9545.0010 to 9545.0260.
D. Supported living services provided at a service site serving four or fewer adults must be provided by a service provider licensed under Minnesota Statutes, chapter 245B and the residence must be licensed under parts 9555.5105 to 9555.6265. Supported living services provided at a single residence serving five or six adults must be licensed under Minnesota Statutes, chapter 245B.
E. Respite care provided at a service site serving more than four persons must be licensed under Minnesota Statutes, chapter 245B. Respite care provided at a service site serving four or fewer persons under 18 years of age must be licensed under parts 9545.0010 to 9545.0260, unless the commissioner waives this requirement according to Minnesota Statutes, section 256B.092, subdivision 4a. Respite care provided at a service site serving four or fewer adults must be licensed under parts 9555.5105 to 9555.6265, unless the commissioner waives this requirement according to Minnesota Statutes, section 256B.092, subdivision 4a. This item shall not apply to a person who provides respite care and who is not required to be licensed under Minnesota Statutes, chapter 245A.
Subp. 7. Licensing variances.
Requests for variances to the licensing requirements in subpart 6 must be handled according to items A to C.
A. The county board may request a variance from compliance with parts 9545.0010 to 9545.0260 as required in subpart 6, item C, D, or E, for a provider who provides services to persons under 18 years of age if the county board determines that no providers who meet the licensing requirements are available and that granting the variance will not endanger the health, safety, or development of the persons. The written variance request must be submitted to the commissioner and must contain:
B. The county board may grant a written variance from compliance with parts 9555.5105 to 9555.6265 as required in subpart 6, items D and E, for a provider who provides services to adults if the county board determines that no providers who meet the licensing requirements are available and that granting the variance will not endanger the health, safety, or development of the persons.
C. Requests for a variance of the provisions must be submitted according to Minnesota Statutes, chapter 245B.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 12 SR 1148; 16 SR 2238; L 2005 c 56 s 2; L 2010 c 382 s 86; L 2013 c 108 art 13 s 14
Minn. R. 9525.1870 Provider Contracts and Subcontracts
Subpart 1. Contracts.
To receive medical assistance reimbursement for home and community-based services, the provider must have a contract developed with the host county. In addition, the contract must contain the information in items A to F and subpart 2:
A. maximum and minimum number of persons to be served;
B. description of how the services will benefit the persons in attaining the goals in the persons' individual service plans;
C. description of how the benefits of the services will be measured;
D. an agreement to comply with parts 9525.1800 to 9525.1930;
E. description of ongoing training to be provided under part 9525.1850, item E; and
F. other provisions the county board determines are needed to ensure the county's ability to comply with part 9525.1900.
Subp. 2. Required provision.
Each contract and subcontract must contain the following provision. If any contract does not contain the following provision, the provision shall be considered an implied provision of the contract.
"The provider acknowledges and agrees that the Minnesota Department of Human Services is a third-party beneficiary, and as a third-party beneficiary, is an affected party under this contract. The provider specifically acknowledges and agrees that the Minnesota Department of Human Services has standing to and may take any appropriate administrative action or sue the provider for any appropriate relief in law or equity, including, but not limited to, rescission, damages, or specific performance, of all or any part of the contract between the county board and the provider. The provider specifically acknowledges that the county board and the Minnesota Department of Human Services are entitled to and may recover from the provider reasonable attorney's fees and costs and disbursements associated with any action taken under this paragraph that is successfully maintained. This provision shall not be construed to limit the rights of any party to the contract or any other third party beneficiary, nor shall it be construed as a waiver of immunity under the Eleventh Amendment to the United States Constitution or any other waiver of immunity."
Subp. 3. Subcontracts.
If the provider subcontracts with another contractor the provider shall:
A. have written permission from the host county to subcontract;
B. ensure that the subcontract meets all the requirements of subpart 1;
C. ensure that the subcontractor meets the requirements in part 9525.1850; and
D. ensure that the subcontractor performs fully the terms of the subcontract.
Subp. 4. Noncompliance.
If the provider or subcontractor fails to comply with the contract, the county board may seek any available legal remedy.
The county board shall notify the commissioner in writing within 30 days when the county board has reasonable grounds to believe that a contract required under this part has been breached in a material manner or that a provider or subcontractor has taken any action or failed to take any action that constitutes anticipatory breach of the contract. The county board may allow the provider or subcontractor a reasonable amount of time to cure the breach or anticipatory breach. The county board shall notify the commissioner in writing within ten working days if the provider or subcontractor takes any action or fails to take any action in response to the opportunity to cure. In the notice, the county board shall inform the commissioner of the action the county board intends to take.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238; L 2003 1Sp14 art 11 s 11
Minn. R. 9525.1880 County Proposal and Approval of County Proposal
Subpart 1. Application forms and deadlines.
To be considered for reimbursement under parts 9525.1800 to 9525.1930, county boards, singly or jointly, must submit to the commissioner an annual proposal for the provision of home and community-based services to persons for which the county board or county boards are financially responsible. The commissioner shall notify the county boards of the deadlines and forms for the submission of proposals for home and community-based services.
Subp. 2. Contents of county proposal.
The proposal must be based on the needs of individually identified persons in the county and must identify the number of persons to whom the county board expects to provide the home and community-based services and identify, by name, recipients authorized and receiving services, individuals screened and authorized but not yet receiving services, and individuals for whom the county has received a request to receive waivered services but has not yet screened. If county boards are applying jointly, each county board must identify the number of persons for which the county is financially responsible.
The commissioner shall review the county community social services administration (CSSA) plan, the determination of need, and the redetermination of need for services for persons with developmental disabilities and may consider the county goals and objectives as part of the county proposal. The commissioner may also require the county boards to include the following information in the proposal:
A. current living arrangements;
B. current day programs;
C. level of supervision required;
D. the type of home and community-based services projected to be needed and the expected duration of the service or services;
E. the projected starting dates of the home and community-based services;
F. the proposed service provider or providers and billing rate or rates, if known;
G. a description of how the proposal limits the development of new community-based ICF/DD beds and reduces the county's use of existing ICF/DD beds in regional treatment centers and community ICFs/DD, including any steps the county board has taken to encourage voluntary decertification of community-based ICF/DD beds; and
H. a description of the steps the county board has taken to prepare to provide home and community-based services, including efforts to integrate home and community-based services into the county board's administrative services planning system.
Subp. 3. Review and approval of proposal.
The commissioner shall review all proposals submitted according to subparts 1 and 2. The commissioner shall only approve the county proposals that meet the requirements of parts 9525.1800 to 9525.1880 and that demonstrate compliance with the goals of the department as stated in items A to C:
A. reduction of the number of children in regional treatment centers;
B. limitation of the development of new community-based ICF/DD beds and reduction of the use of existing ICF/DD beds located on regional treatment center campuses and in the community; and
C. integration of home and community-based services into the county board's administrative services planning system. If the proposal is disapproved, the commissioner shall notify the county board, in writing, of the reasons why the proposal was not approved. The county board has seven days after receipt of the written notice in which to revise the proposal and resubmit it to the commissioner.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238; L 2005 c 56 s 2
Minn. R. 9525.1890 Allocation of Home and Community-Based Services Money
Subpart 1. Allocation of diversions.
To allocate home and community-based services money for diversions, the commissioner shall project the number of diversions for the county based on the average of the projected utilization of state regional treatment centers and community-based ICF/DD beds using historical utilization for the county; and the projected per capita utilization of state regional treatment centers and community-based ICF/DD beds for the county, both of which are adjusted to conform with the number of diversions projected in the waiver. The projection shall be adjusted based on the county board's actual use of allocated diversions during the previous fiscal year. If the county board uses less than the number of diversions allocated for the fiscal year, the commissioner may decrease the number of diversions projected by the commissioner for the county for the next fiscal year. The county board's allocation of money for diversions shall be based on the lesser of the number of diversions in the approved county proposal and the number of diversions projected for the county by the commissioner.
Subp. 2. Allocation of conversions.
The county board's allocation of money for conversions shall be based on the number of conversions in the approved county proposal and the extent to which the conversions result in an overall reduction in the county board's historical utilization of state regional treatment centers and community-based ICF/DD beds.
Subp. 3. Notification of allocation.
The commissioner shall notify all county boards, in writing, of the amount of home and community-based services money allocated to each county board or, if the proposal was submitted jointly, to the group of county boards.
Subp. 4. Review of allocation; reallocation.
The commissioner shall review the projected and actual use of home and community-based services by all county boards participating in the program at least semiannually, and report the findings to all the county boards in the state. The commissioner may reduce the allocation to a county board if the commissioner determines, in consultation with the county board, that the initial allocation to the county board will not be used during the allocation period. The commissioner may reallocate the unused portion of the county board's initial allocation to another county board, or other county boards, in the same geographic region that plan to expand home and community-based services or provide home and community-based services for the first time. If there is not a sufficient number of projections to use the unused allocation from county boards within the geographic region, the commissioner may reallocate the remainder to another county board or other county boards in other geographic regions that plan to expand home and community-based services or provide home and community-based services for the first time.
Subp. 5. Preference given.
The commissioner may give preference during the reallocation process and in the allocation of money for subsequent fiscal years to proposals submitted by county boards that have not previously provided home and community-based services. In allocating money for each fiscal year, the commissioner shall give priority to the continued funding of home and community-based services for persons who received home and community-based services in the previous fiscal year and continue to be eligible for home and community-based services.
Subp. 6. Special projects.
The commissioner may reallocate or reserve available home and community-based service money to fund special projects designed to serve very dependent persons with special needs who meet the criteria in parts 9525.1820 and 9510.1050, subpart 2, items C and D. The reallocated or reserved money may be used to provide additional money to county boards that are unable to fund home and community-based services for very dependent persons with special needs within the statewide reimbursement rate as required in part 9525.1910, subpart 2. The commissioner shall develop procedures and criteria for allocating home and community-based program funds for each target group identified as a special project under this subpart.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238; L 2005 c 56 s 2
Minn. R. 9525.1900 Agreement Between State and County
Subpart 1. Contents of agreement.
The county board must have a legally binding written agreement with the state for each approved waiver plan to receive home and community-based services money. The agreement must include provisions specifying that:
A. home and community-based services money will be used only for services to persons who are determined to be eligible under part 9525.1820 and meet the conditions in part 9525.1830;
B. home and community-based services money will be used only for the services in part 9525.1860;
C. home and community-based services money will be used only for services provided by providers who meet the requirements of part 9525.1850 and have a legally binding contract with the host county which meets the requirements of part 9525.1870;
D. the total cost of providing home and community-based services to all persons will not exceed the limits in part 9525.1910 except as provided in part 9525.1890, subpart 6;
E. records will be kept according to part 9525.1920 and applicable provisions of parts 9505.2160 to 9505.2245;
F. the county board will comply with all applicable standards in parts 9525.0004 to 9525.0036;
G. the county board will comply with parts 9525.1800 to 9525.1930;
H. the county board will comply with Minnesota Statutes, chapter 256B, and rules adopted thereunder; and
I. the county board will comply with United States Code, title 42, sections 1396 et seq., and all regulations promulgated thereunder.
Subp. 2. Additional requirements.
If the county board provides home and community-based services in addition to case management, the agreement must specify the services to be provided by the county board.
The agreement must include a provision specifying that the county board agrees that the commissioner may reduce or discontinue reimbursement, or seek other legal remedies if the county board fails to comply with the provisions of the agreement and parts 9525.1800 to 9525.1930.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238; 18 SR 2244
Minn. R. 9525.1910 County Board Funding of Home and Community-Based Services
Subpart 1. County board responsibility.
The county board shall fund home and community-based services in accordance with subparts 2 to 5.
Subp. 2. Distribution of money.
The total amount of money allocated to a county board for home and community-based services in a fiscal year shall not exceed the statewide average daily reimbursement rate multiplied by the total number of days the home and community-based services will be provided to the persons.
Subp. 3. Rate setting.
The host county shall determine the rates to be paid to providers for home and community-based services and retain documentation of the process and data used to determine the rate. The commissioner shall review rates to ensure that the criteria in subpart 4, item C are met.
Subp. 4. Cost limitations.
There is no dollar limitation on the amount of home and community-based services money that counties may authorize to be used per person. In authorizing and billing for home and community-based services for individual persons, the county board must comply with items A to C. For county boards applying jointly, the total cost and total allocation in item A shall be the total cost and total allocation for all of the county boards represented in the proposal and the average cost in item B shall be the average cost for all persons included in the proposal.
A. The total cost of home and community-based services provided to all persons during the fiscal year must not exceed the total allocation approved for the county board, or county boards if applying jointly, for the fiscal year by the commissioner.
B. The county's average cost per day for all DD home and community-based services provided to all persons must not exceed the statewide average daily reimbursement rate, except as provided for in part 9525.1890, subpart 6. The county's average cost per day for a recipient of ACS waivered services may not exceed the amount allocated to the county by the commissioner for that person.
C. The cost of each service must satisfy the following criteria:
Subp. 5. Assessment for costs which exceed allocation.
If the total expenditures by the state under parts 9525.1800 to 9525.1930 do not meet the federal requirements under the waiver and as a result federal financial participation is denied, disallowed, or required to be returned, the commissioner shall assess a portion of the cost to each county board that incurred costs which exceeded the total allocation for that county. The portion assessed must be based on the costs that exceed or exceeded the county board's allocation.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 12 SR 1148; 16 SR 2238; L 2005 c 56 s 2
Minn. R. 9525.1920 Required Records and Reports
Subpart 1. Provider records.
The provider and any subcontractor the provider contracts with shall maintain complete program and fiscal records and supporting documentation identifying the persons served and the services and costs provided under the provider's home and community-based services contract with the county board. These records must be maintained in well-organized files and identified in accounts separate from other facility or program costs. The provider's and subcontractor's records shall be subject to the maintenance schedule, audit availability requirements, and other provisions in parts 9505.2160 to 9505.2245.
Subp. 2. County board records.
The county board shall maintain complete fiscal records and supporting documentation identifying the recipients served and the services and costs provided under the county board's agreement with the department. If the county board provides home and community-based services in addition to case management, the county board's records must include the information required in part 9525.1870. The county board records shall be subject to the maintenance schedule, audit availability requirements, and other provisions in parts 9505.2160 to 9505.2245.
Subp. 3. Availability of records.
The county board's, the provider's, and the subcontractor's financial records described in subparts 1 and 2, must be available, on request, to the commissioner and the federal Department of Health and Human Services according to parts 9505.2160 to 9505.2245 and 9525.1800 to 9525.1930.
Subp. 4. Retention of records.
The county board, the providers, and the subcontractors shall retain a copy of the records required in subparts 1 and 2 for five years unless an audit in process requires a longer retention period.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238
Minn. R. 9525.1930 Penalties and Appeals
Subpart 1. Noncompliance.
The commissioner may pursue contractual remedies in accordance with part 9525.1870, subparts 2 and 3, withhold or withdraw reimbursement, recoup money paid, and pursue any other available legal remedy for failure of a county board, provider, or subcontractor to comply with parts 9525.1800 to 9525.1930. The commissioner may also take action in accordance with Minnesota Statutes, section 256B.064.
The county board shall pursue contractual remedies in accordance with part 9525.1870, subparts 2 and 3, withhold or withdraw reimbursement, recoup money paid, or pursue any other available legal remedy for failure of a provider or subcontractor to comply with parts 9525.1800 to 9525.1930. A provider shall be held liable if a subcontractor fails to comply with parts 9525.1800 to 9525.1930.
Subp. 2.
[Repealed, 16 SR 2238]
Subp. 3. Failure to enforce.
The county board shall be held liable for any damages or costs to the department for failure of the county board to enforce contracts entered into under parts 9525.1800 to 9525.1930 or for any action or inaction which impedes enforcement by the commissioner.
Subp. 4. Appeals by county boards, providers, or subcontractors.
Before the commissioner withholds, recoups, or withdraws the county board's allocation under subpart 1, the commissioner shall give 30 days written notice to the county board and send a copy of the written notice to the affected providers or subcontractors. The written notice shall inform the county board, provider, or subcontractor of the right to a hearing under the contested case procedures of Minnesota Statutes, chapter 14. If the commissioner receives a written appeal of the commissioner's action within 30 days of the date the written notice is sent, the commissioner shall initiate a contested case proceeding. The written appeal must state the reasons the county board, provider, or subcontractor is appealing the commissioner's action. The commissioner shall not take the proposed action before the hearing unless, in the commissioner's opinion, the action is necessary to protect the public welfare and the interests of the home and community-based services program.
Subp. 5. Appeals by individuals.
Notice, appeals, and hearing procedures shall be conducted as follows:
A. A person who is considered for, or receiving, home and community-based services has a right to a hearing under Minnesota Statutes, section 256.045 if:
B. It is an absolute defense to an appeal under item A, subitem (1), if the county board proves that it followed the established written procedures and criteria and determined that home and community-based services could not be provided to the person within the county board's allocation of home and community-based services money.
C. Notice, appeal, and hearing procedures shall be conducted in accordance with Minnesota Statutes, section 256.045.
History
- Statutory Authority: MS s 256B.092; 256B.501; 256B.502; 256B.503
- History: 10 SR 838; 16 SR 2238; L 2005 c 56 s 2
Minn. R. 9525.2000 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2010 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, L 1997 c 248 s 51]
Subp. 3.
[Repealed, L 1997 c 248 s 51]
Subp. 4.
[Repealed, L 1997 c 248 s 51]
Subp. 5.
[Repealed, L 1997 c 248 s 51]
Subp. 6.
[Repealed, L 1997 c 248 s 51]
Subp. 7.
[Repealed, L 1997 c 248 s 51]
Subp. 8.
[Repealed, L 1997 c 248 s 51]
Subp. 9.
[Repealed, L 1997 c 248 s 51]
Subp. 10.
[Repealed, L 1997 c 248 s 51]
Subp. 11.
[Repealed, L 1997 c 248 s 51]
Subp. 12.
[Repealed, L 1997 c 248 s 51]
Subp. 13.
[Repealed, L 1997 c 248 s 51]
Subp. 14.
[Repealed, L 1997 c 248 s 51]
Subp. 15.
[Repealed, L 1997 c 248 s 51]
Subp. 16.
[Repealed, L 1997 c 248 s 51]
Subp. 17.
[Repealed, L 1997 c 248 s 51]
Subp. 18.
[Repealed, L 1997 c 248 s 51]
Subp. 19.
[Repealed, L 1997 c 248 s 51]
Subp. 20.
[Repealed, 18 SR 2244]
Subp. 20a.
[Repealed, L 1997 c 248 s 51]
Subp. 21.
[Repealed, L 1997 c 248 s 51]
Subp. 22.
[Repealed, L 1997 c 248 s 51]
Subp. 23.
[Repealed, L 1997 c 248 s 51]
Subp. 24.
[Repealed, L 1997 c 248 s 51]
Subp. 25.
[Repealed, L 1997 c 248 s 51]
Subp. 26.
[Repealed, L 1997 c 248 s 51]
Subp. 27.
[Repealed, L 1997 c 248 s 51]
Subp. 28.
[Repealed, L 1997 c 248 s 51]
Subp. 29.
[Repealed, L 1997 c 248 s 51]
Subp. 30.
[Repealed, L 1997 c 248 s 51]
Subp. 31.
[Repealed, L 1997 c 248 s 51]
Subp. 32.
[Repealed, L 1997 c 248 s 51]
Subp. 33.
[Repealed, L 1997 c 248 s 51]
Subp. 34.
[Repealed, L 1997 c 248 s 51]
Subp. 35.
[Repealed, L 1997 c 248 s 51]
Subp. 36.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2020 Repealed by subpart
Subpart 1.
[Repealed, L 1997 c 248 s 51]
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7.
[Repealed, 18 SR 2748]
Subp. 8.
[Repealed, L 1997 c 248 s 51]
Subp. 9.
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2025 [Repealed, 18 SR 2748; L 1997 c 248 s 51]
[Repealed, 18 SR 2748; L 1997 c 248 s 51]
Minn. R. 9525.2030 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2040 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2050 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2060 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2070 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2080 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2090 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2100 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2110 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2120 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2130 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2140 [Repealed, L 1997 c 248 s 51]
[Repealed, L 1997 c 248 s 51]
Minn. R. 9525.2700 [Repealed, 40 SR 179]
[Repealed, 40 SR 179]
Minn. R. 9525.2710 Repealed by subpart
Subpart 1.
[Repealed, 40 SR 179]
Subp. 2.
[Repealed, 40 SR 179]
Subp. 3.
[Repealed, 40 SR 179]
Subp. 4.
[Repealed, 40 SR 179]
Subp. 5.
[Repealed, 40 SR 179]
Subp. 6.
[Repealed, 40 SR 179]
Subp. 7.
[Repealed, 40 SR 179]
Subp. 8.
[Repealed, 40 SR 179]
Subp. 9.
[Repealed, 40 SR 179]
Subp. 10.
[Repealed, 40 SR 179]
Subp. 11.
[Repealed, 40 SR 179]
Subp. 12.
[Repealed, 40 SR 179]
Subp. 13.
[Repealed, 40 SR 179]
Subp. 14.
[Repealed, 18 SR 1141]
Subp. 14a.
[Repealed, 40 SR 179]
Subp. 15.
[Repealed, 40 SR 179]
Subp. 16.
[Repealed, 18 SR 1141; 18 SR 2244]
Subp. 16a.
[Repealed, 40 SR 179]
Subp. 16b.
[Repealed, 40 SR 179]
Subp. 17.
[Repealed, 40 SR 179]
Subp. 18.
[Repealed, 18 SR 1141]
Subp. 19.
[Repealed, 40 SR 179]
Subp. 19a.
[Repealed, 40 SR 179]
Subp. 20.
[Repealed, 40 SR 179]
Subp. 21.
[Repealed, 18 SR 1141]
Subp. 21a.
[Repealed, 40 SR 179]
Subp. 22.
[Repealed, 40 SR 179]
Subp. 23.
[Repealed, 40 SR 179]
Subp. 24.
[Repealed, 40 SR 179]
Subp. 25.
[Repealed, 40 SR 179]
Subp. 26.
[Repealed, 40 SR 179]
Subp. 27.
[Repealed, 40 SR 179]
Subp. 28.
[Repealed, 40 SR 179]
Subp. 29.
[Repealed, 40 SR 179]
Subp. 30.
[Repealed, 18 SR 1141]
Subp. 31.
[Repealed, 40 SR 179]
Subp. 32.
[Repealed, 40 SR 179]
Subp. 33.
[Repealed, 18 SR 1141]
Subp. 33a.
[Repealed, 40 SR 179]
Subp. 34.
[Repealed, 40 SR 179]
Subp. 35.
[Repealed, 40 SR 179]
Minn. R. 9525.2720 [Repealed, 40 SR 179]
[Repealed, 40 SR 179]
Minn. R. 9525.2730 [Repealed, 40 SR 179]
[Repealed, 40 SR 179]
Minn. R. 9525.2740 [Repealed, 40 SR 179]
[Repealed, 40 SR 179]
Minn. R. 9525.2750 Repealed by subpart
Subpart 1.
[Repealed, 40 SR 179]
Subp. 1a.
[Repealed, 40 SR 179]
Subp. 2.
[Repealed, 40 SR 179]
Subp. 2a.
[Repealed, 40 SR 179]
Subp. 3.
[Repealed, 18 SR 1141]
Subp. 4.
[Repealed, 40 SR 179]
Minn. R. 9525.2760 Repealed by subpart
Subpart 1.
[Repealed, 40 SR 179]
Subp. 2.
[Repealed, 40 SR 179]
Subp. 3.
[Repealed, 18 SR 1141]
Subp. 4.
[Repealed, 40 SR 179]
Subp. 5.
[Repealed, 40 SR 179]
Subp. 6.
[Repealed, 40 SR 179]
Minn. R. 9525.2770 Repealed by subpart
Subpart 1.
[Repealed, 40 SR 179]
Subp. 2.
[Repealed, 40 SR 179]
Subp. 3.
[Repealed, 18 SR 1141]
Subp. 4.
[Repealed, 18 SR 1141]
Subp. 5.
[Repealed, 40 SR 179]
Subp. 6.
[Repealed, 40 SR 179]
Minn. R. 9525.2780 Repealed by subpart
Subpart 1.
[Repealed, 18 SR 1141]
Subp. 2.
[Repealed, 40 SR 179]
Subp. 3.
[Repealed, 40 SR 179]
Subp. 4.
[Repealed, 40 SR 179]
Subp. 5.
[Repealed, 40 SR 179]
Subp. 6.
[Repealed, 18 SR 1141]
Subp. 7.
[Repealed, 40 SR 179]
Minn. R. 9525.2790 [Repealed, 40 SR 179]
[Repealed, 40 SR 179]
Minn. R. 9525.2800 [Repealed, 40 SR 179]
[Repealed, 40 SR 179]
Minn. R. 9525.2810 [Repealed, 40 SR 179]
[Repealed, 40 SR 179]
Minn. R. 9525.3010 Scope
Subpart 1. Applicability.
Parts 9525.3010 to 9525.3100 implement Minnesota Statutes, chapter 252A, by setting standards that govern the responsibility of county boards in providing public guardianship services to persons with a developmental disability. Parts 9525.3010 to 9525.3100 do not apply to persons with related conditions as defined in Minnesota Statutes, section 252.27, subdivision 1a. All guardianship responsibilities in parts 9525.3010 to 9525.3100 are delegated by the commissioner to the county of guardianship responsibility, unless otherwise stated. The commissioner may modify or rescind the delegation of these guardianship responsibilities in whole or in part if a county fails to comply with parts 9525.3010 to 9525.3100 or when the action is found to be in the best interest of the ward. For purposes of parts 9525.3010 to 9525.3100, the term "ward" includes "conservatee," the term "guardianship" includes "conservatorship," and the term "public guardian" or "guardian" includes "public conservator" or "conservator," unless otherwise stated.
Subp. 2. Purpose.
The purpose of parts 9525.3010 to 9525.3100 is to:
A. provide supervision and protection to persons with a developmental disability who are unable to fully provide for their own needs and for whom no qualified person is willing and able to act as private guardian;
B. set standards that the department and local agencies are to follow in the provision of public guardianship services;
C. safeguard the decision making powers of persons with a developmental disability so that they are not restricted beyond the clearly established need; and
D. assist persons with a developmental disability in receiving those services to which they are entitled under state and federal law.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276; L 2013 c 59 art 3 s 21
Minn. R. 9525.3015 Definitions
Subpart 1. Scope.
For the purposes of parts 9525.3010 to 9525.3100, the following terms have the meanings given to them in this part.
Subp. 2. Aversive procedure.
"Aversive procedure" has the meaning given it in part 9525.2710, subpart 4.
Subp. 3. Best interest.
"Best interest" means the principle of decision making that weighs the desires and objectives of the ward and the benefits and harms to the ward of a particular act or course of action, based on reasonable alternatives, and selects the alternative that provides the most benefit and least harm.
Subp. 4. Biomedical ethics committee.
"Biomedical ethics committee" means a multidisciplinary group established by a health care institution to address ethical dilemmas which arise within the institution.
Subp. 5. Case management.
"Case management" means the administration and services provided under Minnesota Statutes, section 256B.092.
Subp. 6. Case manager.
"Case manager" has the meaning given it in part 9525.0004, subpart 4.
Subp. 7. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designated representative.
Subp. 8. Conservatee.
"Conservatee" means a person with a developmental disability for whom the court has appointed a public conservator.
Subp. 9.
[Repealed, 18 SR 2244]
Subp. 10. County of guardianship responsibility.
"County of guardianship responsibility" means the county social services agency in the county in which guardianship has been established by the court.
Subp. 11. County staff acting as public guardian.
"County staff acting as public guardian" means the person designated by the county board to exercise public guardianship responsibilities delegated to the local agency.
Subp. 12. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 13. Deprivation procedure.
"Deprivation procedure" has the meaning given it in part 9525.2710, subpart 12.
Subp. 14. Do not resuscitate.
"Do not resuscitate" means a physician's order placed in the ward's medical chart to withhold cardiopulmonary resuscitation (CPR) in the event of cardiopulmonary arrest.
Subp. 15. Electroconvulsive therapy or electroshock therapy.
"Electroconvulsive therapy" or "electroshock therapy" means a treatment by which a medically controlled seizure is produced by passing an electric current across part of the brain.
Subp. 16. Experimental treatment.
"Experimental treatment" means drugs, therapies, or treatments that are unproven, have been confined largely to laboratory use, or have progressed to limited human application and trials, and lack wide recognition from the scientific community as a proven and effective measure of treatment.
Subp. 17. Individual service plan.
"Individual service plan" means the written plan, developed by the service planning team, containing the components listed in Minnesota Statutes, section 256B.092.
Subp. 18. Informed consent.
"Informed consent" means the principle that the consent is valid only if the person giving consent understands the nature of the treatment, the benefits, the risk of harm to the ward, the alternatives, and can give a reason for selecting a particular alternative. Informed consent requires that the person giving consent:
A. is able to receive and assimilate relevant information;
B. has the capacity to make reasoned decisions based upon relevant information;
C. is giving consent voluntarily and without coercion;
D. understands the nature of the diagnosis, the prognosis, and the current clinical condition; and
E. understands the risk of harm to the ward and the benefits of all treatment alternatives, including risks and benefits of no treatment.
Subp. 19. Least restrictive alternative.
"Least restrictive alternative" means the alternative that is the least intrusive and most normalized given the level of supervision and protection required for each individual ward. This level of supervision and protection allows risk taking to the extent that there is no reasonable likelihood that serious harm will happen to the ward or others.
Subp. 20. Licensed physician.
"Licensed physician" means a person defined in Minnesota Statutes, section 252A.02, subdivision 5.
Subp. 21. Local agency.
"Local agency" means the county of guardianship responsibility or the supervising agency.
Subp. 22. Near relative.
"Near relative" means a spouse, parent, adult sibling, or adult child as defined in Minnesota Statutes, section 252A.02, subdivision 6.
Subp. 23. Person with developmental disability.
"Person with developmental disability" has the meaning given it in part 9525.0016, subpart 2.
Subp. 24. Psychotropic medication.
"Psychotropic medication" means a medication prescribed to treat mental illness and associated behaviors or to control or alter behavior. The major classes of psychotropic medications include:
A. antipsychotic (neuroleptic);
B. antidepressant;
C. antianxiety;
D. antimania;
E. stimulant;
F. sedative-hypnotic; and
G. other medications prescribed for the purpose of controlling mood, mental status, or behavior.
Subp. 25. Public conservator.
"Public conservator" means the department staff acting as public conservator or the county staff acting as public conservator when exercising some, but not all the powers designated in Minnesota Statutes, section 252A.111.
Subp. 26. Public guardian.
"Public guardian" means the department staff acting as public guardian or the county staff acting as public guardian when exercising all of the powers designated in Minnesota Statutes, section 252A.111.
Subp. 27. Regional center or regional treatment center.
"Regional center" or "regional treatment center" means a state-operated facility for persons with mental illness, developmental disability, or chemical dependency that is under direct administrative authority of the commissioner.
Subp. 28. Research.
"Research," as defined in Code of Federal Regulations, title 45, section 46.102(d), means a systematic investigation designed to develop or contribute to generalized knowledge.
Subp. 29. Residential program.
"Residential program" has the meaning given it in Minnesota Statutes, section 245A.02, subdivision 14.
Subp. 30. State facility.
"State facility" has the meaning given it in Minnesota Statutes, section 246.50, subdivision 3. State facility includes state-operated community-based services.
Subp. 31. Sterilization.
"Sterilization" means any medical procedure, treatment, or operation performed for the purpose of rendering a person permanently incapable of reproducing.
Subp. 32. Supervising agency.
"Supervising agency" means the local agency that, upon agreement with the county of guardianship responsibility, fulfills designated guardianship responsibilities.
Subp. 33. Terminal condition.
"Terminal condition" means an incurable or irreversible condition that is expected to result in death and for which the administration of medical treatment will serve only to prolong the dying process.
Subp. 34. Ward.
"Ward" means a person with a developmental disability for whom the court has appointed a public guardian.
History
- Statutory Authority: MS s 252A.21; 256B.092
- History: 17 SR 2276; 18 SR 2244; L 2005 c 56 s 2; L 2013 c 59 art 3 s 21
Minn. R. 9525.3020 Persons Subject to Public Guardianship
Subpart 1. Private guardianship preferred.
The commissioner, acting through the local agency, shall seek parents, near relatives, and other interested persons to assume a private guardianship appointment as a preferred alternative over public guardianship.
Subp. 2. Commissioner as adviser.
The commissioner, acting through the local agency, shall seek out persons with a developmental disability who are not under public guardianship but are in need of guardianship services and advise them of the availability of services and assistance.
Subp. 3. Guardian of the estate.
When a ward has a personal estate beyond that which is necessary for the ward's personal and immediate needs, the county staff acting as public guardian shall:
A. determine whether a guardian of the estate has been appointed;
B. determine whether a guardian of the estate is necessary under the criteria in Minnesota Statutes, section 525.54, subdivision 3, if no guardian of the estate has been appointed; and
C. petition the court with probate jurisdiction in the county of guardianship responsibility for the appointment of a private guardian of the estate, if a guardianship of the estate is determined to be necessary.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276; L 1995 c 189 s 8; L 1996 c 277 s 1; L 2013 c 59 art 3 s 21
Minn. R. 9525.3025 Process of Appointing a Public Guardian
Subpart 1. Nomination of commissioner.
Under Minnesota Statutes, section 252A.03, subdivision 1, nomination of the commissioner to act as public guardian is made by submitting a notarized sworn request directly to the commissioner. The commissioner may be nominated by any of the following:
A. the person with a developmental disability;
B. an interested person, including a public official, spouse, parent, adult sibling, legal counsel, adult child, or next of kin; and
C. the current private guardian of the person who is unable or unwilling to continue to act as guardian and who requests the commissioner to act as public guardian.
Subp. 2. Comprehensive evaluation.
Upon receipt of the written nomination, the commissioner shall order the local agency of the county in which the proposed ward resides, to arrange for the comprehensive evaluation of the proposed ward. The local agency shall complete and file the comprehensive evaluation according to Minnesota Statutes, section 252A.04. The local agency shall prepare and forward the comprehensive evaluation to the commissioner within 90 days of the date the commissioner orders the evaluation. When the proposed ward is under medical care, the requirements regarding drugs, medications, and other treatments under Minnesota Statutes, section 252A.04, subdivision 2, apply. The comprehensive evaluation must consist of the following reports required under Minnesota Statutes, section 252A.02, subdivision 12:
A. a medical report on the health status and physical condition of the proposed ward;
B. a report on the proposed ward's intellectual capacity and functional abilities; and
C. a report from the case manager that includes the most current assessment of individual service needs, the most current individual service plan, if applicable, and a description of contacts with and responses of near relatives of the proposed ward about the notification to them that a nomination for public guardianship has been made and that they may seek private guardianship.
Subp. 3. Commissioner's acceptance or rejection of nomination.
Under Minnesota Statutes, section 252A.03, the commissioner shall accept or reject the nomination in writing to the nominating person within 20 working days of receipt of the comprehensive evaluation. If the commissioner rejects the nomination, the person, parents, spouse, or near relatives may file a petition to appoint the commissioner as public guardian under Minnesota Statutes, section 252A.06. The commissioner shall accept the nomination if the following criteria are met:
A. the person was diagnosed as being a person with a developmental disability;
B. the person is in need of the supervision and protection of a guardian; and
C. no qualified person is willing to become a private guardian.
Subp. 4. Petition.
When the commissioner agrees to accept a nomination for appointment as public guardian, the local agency shall petition on behalf of the commissioner within 20 working days of receipt of the commissioner's acceptance, under Minnesota Statutes, section 252A.05. The petition must include the items specified in Minnesota Statutes, section 252A.06, subdivision 2.
Subp. 5. Filing the comprehensive evaluation.
Under Minnesota Statutes, section 252A.07, subdivision 1, when a petition is brought by the commissioner or local agency after the acceptance of the nomination, a copy of the comprehensive evaluation must be filed with the petition. If the petition is brought by a person other than the commissioner or local agency and a comprehensive evaluation has been prepared within a year of the filing of the petition, the commissioner shall forward a copy of the comprehensive evaluation to the court upon notice of filing of the petition. If a comprehensive evaluation has not been prepared within a year of the filing of the petition, the local agency or the commissioner, upon notice of filing of a petition, shall arrange for a comprehensive evaluation to be prepared and forwarded to the court within 90 days. A copy of the comprehensive evaluation must be made available according to Minnesota Statutes, section 252A.07, subdivision 2.
Subp. 6. Exception.
A comprehensive evaluation must be filed with the court before a court hearing. However, the action may proceed pursuant to the exception under Minnesota Statutes, section 252A.07, subdivision 3.
Subp. 7. Notice of hearing.
The notice of hearing of the petition for appointment of public guardian is governed by Minnesota Statutes, sections 252A.081 and 525.55, which require that notice be personally served upon the proposed ward by a nonuniformed officer.
Subp. 8. Hearing.
The public guardianship hearing is governed by Minnesota Statutes, section 252A.101.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276; L 2013 c 59 art 3 s 21
Minn. R. 9525.3030 Limits of Guardianship Powers and Duties
Under Minnesota Statutes, section 525.56, a guardian has only those powers necessary to provide for the demonstrated needs of the ward. The guardian is granted the duty and power to exercise supervisory authority over the ward in a manner that limits civil rights and restricts personal freedoms only to the extent necessary to provide needed care and services. The department staff acting as public guardian or county staff acting as public guardian shall intervene under parts 9525.3010 to 9525.3100, only if the court has determined that the ward is incapable of exercising certain rights.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3035 General Standards for Public Guardianship
Subpart 1. Generally.
For purposes of parts 9525.3010 to 9525.3100, public guardianship responsibilities are divided into the following four general functions:
A. planning;
B. protection of rights;
C. consent determination; and
D. monitoring and evaluation of services.
Subp. 2. Planning.
The county staff acting as public guardian shall participate in planning on behalf of the ward. In planning for the ward, the county staff acting as public guardian shall:
A. obtain knowledge of the ward in order to make decisions on the ward's behalf that are in the best interest of the ward;
B. consider availability of services and service entitlements under applicable state and federal law in order to plan for the individual needs of the ward and assist and represent the ward;
C. determine that services are being provided in a manner consistent with the least restrictive alternative and the ward's best interest; and
D. pursue steps toward the development of community-based services for the ward.
Subp. 3. Protection of rights.
The county staff acting as public guardian and the department staff acting as public guardian shall protect the legal rights and interests of the ward. The public guardian shall take appropriate action if the ward's legal rights are abridged. If actions by providers of public and private services do not meet the individual needs and best interest of the ward, the county staff acting as public guardian and the department staff acting as public guardian shall pursue appropriate action on behalf of the ward according to applicable state law.
Subp. 4. General standards for consent determination.
The county staff acting as public guardian and the department staff acting as public guardian shall determine whether activities are in the ward's best interest. Specific public guardianship consent authority is described in parts 9525.3040 to 9525.3060. The following standards apply to all consents regarding the ward. Unless otherwise specified, when determining whether to consent to any activity which affects the ward, the public guardian must not consent to the activity, unless:
A. the activity is in the ward's best interest;
B. no less restrictive alternatives exist;
C. the activity is not in violation of the religious, moral, or cultural beliefs of the ward; and
D. reasonable efforts have been made to obtain the opinion of the nearest relative.
Subp. 5. Monitoring and evaluation.
The county staff acting as public guardian shall monitor and evaluate services provided to the ward according to part 9525.3065.
Subp. 6. Release of information.
The county staff acting as public guardian or the department staff acting as public guardian must not consent to the release of any information about the ward, unless the release is:
A. in compliance with all applicable data practice laws including Minnesota Statutes, chapter 13; and
B. in the ward's best interest.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3040 Powers and Duties of Public Guardian
Subpart 1. General powers.
The powers and duties of the public guardian are governed by Minnesota Statutes, sections 252A.111 and 525.56, subdivisions 1 to 3. The general powers and duties of the county staff acting as public guardian are:
A. The power to determine the ward's place of residence consistent with state and federal law, and the least restrictive environment consistent with the ward's best interest.
B. The duty to determine that provision has been made for the ward's care, comfort, maintenance needs, including food, shelter, health care, social and recreational requirements, and whenever appropriate, training, education, and habilitation or rehabilitation.
C. The duty to take reasonable care of the ward's clothing, furniture, vehicles, and other personal effects, and, if other property requires protection, the power to seek appointment of a guardian of the estate.
D. The power to give necessary consent to enable the ward to receive necessary medical or other professional care. Exceptions to consent to medical care under parts 9525.3055 to 9525.3060 apply. This power includes consent to aversive and deprivation procedures under part 9525.3045 and psychotropic medications under part 9525.3050.
E. The power to approve or withhold approval of any contract the ward makes, except for necessities.
F. The duty and power to exercise supervisory authority over the ward in a manner that limits civil rights and restricts personal freedom only to the extent necessary to provide needed care and services.
Subp. 2. Additional powers.
The county staff acting as public guardian may have the additional powers granted under Minnesota Statutes, section 252A.111, subdivision 2, if the power is granted by the court. These additional powers are:
A. the power to permit or withhold permission for the ward to marry;
B. the power to begin legal action or defend against legal action in the name of the ward; and
C. the power to consent to the adoption of the ward as provided in Minnesota Statutes, section 259.24.
Subp. 3. Special duties.
Under Minnesota Statutes, section 252A.111, subdivision 6, the county staff acting as public guardian shall:
A. maintain close contact with the ward, visiting at least twice a year;
B. determine whether written consent should be given before filming of the ward for public dissemination, after permitting and encouraging input by near relatives of the ward. All filming must depict the ward with dignity and must not be contrary to the best interest of the ward. Consent for filming must include a consideration of the purpose and intended use of the film;
C. take actions and make decisions on behalf of the ward that encourage and allow the maximum level of independent functioning in a manner least restrictive of the ward's personal freedom consistent with the need for supervision and protection; and
D. permit and encourage maximum self-reliance on the part of the ward and permit and encourage input by the nearest relative of the ward in planning and decision making on behalf of the ward.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3045 Consent to Use of Aversive and Deprivation Procedures
Subpart 1. Generally.
The county staff acting as public guardian has the authority to give informed consent for the use of aversive and deprivation procedures. Technical assistance from the department about the use of aversive and deprivation procedures is available to the local agency upon request. The county staff acting as public guardian must withdraw consent at any time that the use of aversive and deprivation procedures do not appear to be in the best interest of the ward.
Subp. 2. Informed consent.
The county staff acting as public guardian must not consent to the use of aversive and deprivation procedures unless all requirements in parts 9525.2700 to 9525.2810, Code of Federal Regulations, title 42, section 483.13, and other requirements existing in state and federal law governing the use of such procedures are met.
Subp. 3. Monitoring data.
The county staff acting as public guardian shall monitor the use of aversive and deprivation procedures by reviewing data required under parts 9525.2700 to 9525.2810 and Code of Federal Regulations, title 42, section 483.13, to determine whether continued use of aversive or deprivation procedures is consistent with these requirements and is in the best interest of the ward. Documentation of this review must be included in the quarterly review required under part 9525.3065, subpart 2.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3050 Consent to Use of Psychotropic Medications
Subpart 1. Generally.
The county staff acting as public guardian has the authority to give informed consent for the use of psychotropic medications for the ward. The informed consent must be in writing. Technical assistance from the department about the use of psychotropic medications is available to the local agency upon request. The county staff acting as public guardian must withdraw consent at any time that the use of psychotropic medication does not appear to be in the best interest of the ward.
Subp. 2. Informed consent.
The county staff acting as public guardian must not consent to the use of psychotropic medications, unless the following information is documented and reviewed by the local agency:
A. the target behavior or condition for which the psychotropic medication is to be used;
B. a description of the target behavior or condition in specific observable and measurable terms;
C. the current rate, intensity, and quantification of the target behavior or condition;
D. the expected benefits including the level to which the psychotropic medication is to change the target behavior or condition;
E. the other therapies and programs available and which have been considered, or tried and rejected, and the rationale for selecting psychotropic medications as opposed to alternative therapies or programs; and
F. specific information about the psychotropic medication to be used including:
Subp. 3. Monitoring side effects.
The county staff acting as public guardian must not consent to the use of a psychotropic medication, unless standardized methods for assessing and monitoring side effects are in place. This must include a standardized side effects scale. In addition, when antipsychotic medication or amoxapine is used, the Dyskinesia Identification System: Condensed User Scale (DISCUS) must be used to monitor for tardive dyskinesia (TD) and a method must be in place to monitor for other extrapyramidal system side effects, including akathisia, dystonia, and pseudoparkinsonism. For purposes of this subpart, the following terms have the meaning given them.
A. "Tardive dyskinesia" means a variable combination of abnormal involuntary movements associated with the use, usually one to two years or more, of antipsychotic medication.
B. "Extrapyramidal system side effects" means signs and symptoms associated with antipsychotic medication, including:
C. "Dyskinesia Identification System: Condensed User Scale" or "DISCUS" means a 15-item assessment scale which monitors tardive dyskinesia by measuring the presence of involuntary movements in the body. The DISCUS is incorporated by reference. The DISCUS was published in the Psychopharmacology Bulletin, volume 27 (1991), pages 51 to 58, and is not subject to frequent change. DISCUS forms are available from the State Law Library, or from the department upon request.
D. "Standardized side effects assessment scale" means a published or professionally developed assessment scale which monitors side effects.
Subp. 4. Monitoring schedules.
In addition to the requirements of subpart 3, the county staff acting as public guardian must not consent to the use of psychotropic medications, unless there is documentation that the following monitoring criteria are in place:
A. the monitoring of side effects is documented at least once, seven to 14 days after the initiation or dosage increase of any psychotropic medication, with the exception of the following documented and justified clinical situations:
B. the monitoring of side effects is documented at least once every six months if any psychotropic medication continues to be prescribed; and
C. the monitoring of tardive dyskinesia, akathisia, and other extrapyramidal system side effects is documented as occurring at least once every six months if antipsychotic medication or amoxapine is prescribed. Monitoring must also occur at least once per year if antipsychotic medication or amoxapine is no longer prescribed but tardive dyskinesia, tardive akathisia, or tardive dystonia is diagnosed. The county staff acting as public guardian must withdraw consent to the use of psychotropic medications at any time the conditions under this subpart are not met.
Subp. 5. Data review of target behavior.
The county staff acting as public guardian must not consent to the use of psychotropic medications, unless there is in place a method to collect and review data on the incidence of the behavior that the psychotropic medication is to increase, decrease, or eliminate and which provides a basis to determine the effectiveness of the psychotropic medication. This data collection method must include:
A. an objective description of the target behaviors to be increased and decreased or eliminated;
B. the methodology of collecting data on target behaviors;
C. the target behavior criterion level which represents treatment effectiveness;
D. quantification of the target behaviors to be increased and decreased or eliminated based upon data collected since the last review;
E. any current behavioral or therapeutic programs assigned to the target behaviors and the effectiveness of those programs;
F. the psychotropic medication, dose, and route of administration before and after the review;
G. the date for the next review; and
H. the data review must occur:
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3055 Nondelegated Consent
Subpart 1. Generally.
The department retains the authority to provide consent in the areas described in this part. County staff acting as public guardians do not have authority to grant consent under subparts 2 to 4.
Subp. 2. Do not resuscitate orders.
The county staff acting as public guardian shall submit an application for a "do not resuscitate" order to the department for written approval. Consent for a "do not resuscitate" order must not be given in the absence of a terminal condition, unless the physician states that initiating cardiopulmonary resuscitation would be medically futile or would harm the ward. The application must contain documentation of the following:
A. that the county staff acting as public guardian has visited the ward;
B. that the ward has been informed of the reasons and consequences of the order, and to the extent the ward is able to comprehend, the ward agrees to the order;
C. that the county staff acting as public guardian has made reasonable efforts to obtain the opinion of the nearest relative;
D. that the physician's written recommendation includes:
E. a statement that the request for the order is not based on discrimination because of the ward's developmental disability;
F. upon request by the department, a report from a biomedical ethics committee, if one exists within the health care institution, that affirms that the proper procedures have been followed by the health care providers on behalf of the ward; and
G. a recommendation by the county staff acting as public guardian for or against the request.
Subp. 3. Limited medical treatment.
The county staff acting as public guardian shall submit an application to the department for written approval. The standards in subpart 2 govern the application for limited medical treatment. For purposes of this part, limited medical treatment means a life-sustaining treatment that has been deemed through ethical decision making, to be useless or gravely burdensome to the ward.
Subp. 4. Research.
The county staff acting as public guardian shall submit an application to the department for written approval for the ward's participation in research, except for research such as educational tests, survey procedures, and interviews as exempted under Code of Federal Regulations, title 45, section 46.101(b). The application must contain the following information required for informed consent under Code of Federal Regulations, title 45, section 46.116:
A. an explanation of the purposes of the research;
B. the expected duration of the ward's participation;
C. a description of the procedures to be followed;
D. identification of any procedures which are experimental;
E. a description of any reasonably foreseeable risks or discomforts to the ward;
F. a description of any benefits to the ward or to others which may reasonably be expected from the research;
G. a description of appropriate alternative procedures or course of treatment, if any, that might be advantageous to the ward;
H. a statement that describes the extent, if any, to which the confidentiality of records that identify the ward will be maintained;
I. for research involving more than minimal risk, an explanation about whether any compensation is available, and an explanation about whether medical treatments are available if injury occurs and, if so, what they consist of or where further information may be obtained;
J. an explanation of whom to contact for answers to questions about the research and the ward's rights, and whom to contact in the event of a research-related injury to the ward;
K. a statement that participation is voluntary, that refusal to participate will involve no penalty or loss of benefits to which the ward is otherwise entitled, and that the ward may discontinue participation at any time without penalty or loss of benefits; and
L. the additional elements of informed consent as required under Code of Federal Regulations, title 45, section 46.116(b), must also be included in the application for informed consent, when relevant.
Subp. 5. Temporary care placement.
The county staff acting as public guardian shall request the department's written approval for a ward's temporary placement at a regional center. A ward's admission to a regional center for the purpose of receiving temporary care must not exceed 90 calendar days in any calendar year. The number of days of temporary care needed must be specified at the time of the ward's admission. The request must include a plan for establishment of a community placement for the ward within 90 calendar days of the date of temporary placement.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276; L 2013 c 59 art 3 s 21
Minn. R. 9525.3060 Nondelegated Consent Requiring a Court Order
Subpart 1. Generally.
No guardian may give consent for psychosurgery, electroconvulsive therapy, sterilization, or experimental treatment of any kind, unless the procedure is first approved by order of the court. Under Minnesota Statutes, section 525.56, subdivision 3, the court determines if the procedure is in the best interest of the ward. A petition for a court order for nondelegated consent is governed by Minnesota Statutes, section 525.56, subdivision 3, paragraph (4), clause (b). Before the court hearing, the county staff acting as public guardian shall obtain the written recommendation of the department pursuant to Minnesota Statutes, chapter 252A.
Subp. 2. Sterilization.
The county staff acting as public guardian shall make application to the department for a written recommendation regarding sterilization of a ward. The application must include those reports prepared by a licensed physician, a psychologist who is qualified in the diagnosis and treatment of developmental disabilities, and a social worker who is familiar with the ward's social history and adjustment or the case manager for the ward, as required by Minnesota Statutes, section 525.56, subdivision 3, paragraph (4), clause (c). These reports must include the following:
A. why sterilization is being proposed;
B. whether sterilization is necessary and is the least intrusive method for alleviating the problem presented;
C. whether sterilization is in the best interest of the ward; and
D. medical reports specifically considering the medical risks of sterilization, the consequences of not performing the sterilization, and whether alternative methods of contraception could be used to protect the best interest of the ward.
Subp. 3. Department recommendation.
The department must not recommend sterilization of a ward, unless the following conditions have been met:
A. the ward has engaged in sexual intercourse or it is reasonably likely that the ward will engage in sexual intercourse;
B. all alternative methods of contraception, medical intervention, and behavior modification have been considered or have been tried unsuccessfully, including the use of contraceptives by the partner;
C. the physician has submitted a written statement that the proposed surgical procedure presents no undue risk for the ward; and
D. the ward has been fully informed and has agreed to the procedure, to the extent that the ward can comprehend the procedure and the reasons for it.
Subp. 4. Electroconvulsive therapy, psychosurgery, and experimental treatment.
Under Minnesota Statutes, section 525.56, subdivision 3, paragraph (4), clause (a), no ward may receive electroconvulsive therapy, psychosurgery, or experimental treatment of any kind, unless the court orders the treatment. The county staff acting as public guardian shall make application to the department for a written recommendation before petitioning the court. The application must contain documentation that the following conditions have been met:
A. the drug, therapy, or treatment is intended to treat a serious or life-threatening disease, pathological condition, or behavioral pattern;
B. more accepted methods have been tried and found to be ineffective;
C. there is not a comparable or satisfactory alternative drug, therapy, or treatment available that is approved or generally recognized in the treatment of the disease, pathological condition, or behavior; and
D. that the county staff acting as public guardian has:
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276; L 2013 c 59 art 3 s 21
Minn. R. 9525.3065 Monitoring and Evaluation
Subpart 1. Annual review.
Under Minnesota Statutes, section 252A.16, the county staff acting as public guardian shall conduct an annual review of the status of each ward. The county staff acting as public guardian shall submit to the department by the annual birthday of each ward, a copy of the annual review for each ward receiving public guardianship services during the past calendar year. The annual review must be in writing in the form determined by the local agency and must minimally include a description of the ward's:
A. physical adjustment and progress;
B. mental adjustment and progress;
C. social adjustment and progress; and
D. legal status based on items A to C. The annual review required under parts 9525.0004 to 9525.0036 may be used to fulfill the annual review requirement of this subpart only when that review contains all of the criteria required under items A to D. The county staff acting as public guardian must review and sign all annual reviews. If the county staff acting as public guardian determines that the ward is no longer in need of guardianship or is capable of functioning under a less restrictive conservatorship, the local agency shall petition the court for a termination or modification of public guardianship as specified in part 9525.3085.
Subp. 2. Quarterly review of records.
Under Minnesota Statutes, section 252A.21, subdivision 2, the county staff acting as public guardian shall review the records from the day, residential, and any support services on a quarterly basis. The quarterly review of records must be in writing in the form determined by the local agency. The quarterly review must contain any data about the use of aversive and deprivation procedures under part 9525.3045 and psychotropic medications under part 9525.3050. In conducting the quarterly review, the county staff acting as public guardian shall indicate in writing whether:
A. the ward is satisfied with the services;
B. the services are in the best interest of the ward;
C. the services are being provided according to the ward's individual service plan; and
D. the services continue to meet the needs of the ward in the least restrictive environment. The local agency shall maintain a record of all quarterly reviews according to the local agency's record maintenance schedule and submit copies to the department upon request.
Subp. 3. Additional reports.
The county staff acting as public guardian shall provide additional reports as requested by the department.
History
- Statutory Authority: MS s 252A.21; 256B.092
- History: 17 SR 2276; 18 SR 2244
Minn. R. 9525.3070 County of Guardianship Responsibility
Subpart 1. Responsibilities delegated to county of guardianship responsibility.
All guardianship responsibilities in parts 9525.3010 to 9525.3100, are delegated by the commissioner to the county of guardianship responsibility except for those responsibilities retained by the commissioner under parts 9525.3055 to 9525.3060. The county of guardianship responsibility retains general supervisory responsibility for the ward throughout the duration of the public guardianship.
Subp. 2. Maintenance of records.
The county of guardianship responsibility shall maintain a record for each ward. A separate guardianship record is not required. The guardianship record may be part of the existing client record. The county of guardianship responsibility, and any designated supervising agency, shall retain records on a ward until a court order terminates the guardianship or until the death of the ward. Records of a person previously under public guardianship may be destroyed four years from the date the file is closed.
Subp. 3. Ward relocation.
The county staff acting as public guardian shall notify the department when a ward permanently relocates or temporarily leaves Minnesota for an extended stay. Notification is required for the following:
A. Leaving the state for more than 90 days. The county staff acting as public guardian shall determine whether leaving the state more than 90 days is in the best interest of the ward. If necessary, the county staff acting as public guardian shall refer the ward to the appropriate local agency in the other state for ongoing supervision.
B. Moving permanently from Minnesota. The county staff acting as public guardian shall determine whether moving permanently from the state is in the best interest of the ward. When a determination is made that the ward will move, the local agency shall seek termination of the public guardianship according to part 9525.3085.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3075 Supervising Agency
Subpart 1. Referral.
When a ward moves or plans to move to another county, the county of guardianship responsibility may refer the ward to the county where the person is living, or plans to live, with a request for fulfilling the powers and duties of guardianship.
Subp. 2. Transfer of responsibility.
All or any portion of the powers and duties that have been delegated by the department to the county of guardianship responsibility may be transferred to the county of supervisory responsibility by written agreement between the two local agencies. Upon entering into a written agreement with the county of guardianship responsibility, the supervising agency is responsible for the ward. The county of guardianship responsibility shall notify the department of all transfers of responsibilities by submitting a copy of the written agreement to the department within 30 calendar days of the effective date of the agreement.
Subp. 3. Transfer of venue.
The county of guardianship responsibility may be changed by the court through a transfer of venue according to Minnesota Statutes, section 525.57.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3080 County Contracting for Public Guardianship Services
Local agencies may contract only for the public guardianship representation required by the screening and the individual service planning process. Local agencies may contract for these services with a public or private agency or individual who is not a service provider for the person. Local agencies must not contract with any party for the provision of other public guardianship duties required under parts 9525.3010 to 9525.3100.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3085 Modification or Termination of Public Guardianship
Subpart 1. Generally.
A hearing for the modification or termination of a public guardianship is governed by Minnesota Statutes, section 252A.19. The commissioner serves as public guardian with all the powers awarded pursuant to the guardianship until termination or modification by the court.
Subp. 2. Petition.
The commissioner, ward, county staff acting as public guardian, or any interested person may petition the appointing court or the court to which venue has been transferred, for an order to terminate or modify the public guardianship under Minnesota Statutes, section 252A.19, subdivision 2. If the local agency determines that the ward no longer needs public guardianship, the local agency shall petition the court for a termination or modification of the public guardianship under Minnesota Statutes, section 252A.19.
Subp. 3. Specific modifications.
The specific forms of modification available are set forth in Minnesota Statutes, section 252A.19, subdivision 2. Each of these alternatives is a change in legal status of the ward and requires a court hearing.
Subp. 4. Comprehensive evaluation.
The county staff acting as public guardian shall arrange for a comprehensive evaluation of the ward at the court's request, under Minnesota Statutes, section 252A.19, subdivision 4.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3090 Death of a Ward or Conservatee
Subpart 1. Report.
The county staff acting as public guardian shall report the death of a ward to the department and to the court that appointed the guardian, within 14 calendar days of the date of death. The written report must state the date, time, place, and cause of death. If a vulnerable adult investigation is conducted under Minnesota Statutes, section 626.557, a final report must be submitted to the department when the investigation is completed.
Subp. 2. Closing of local agency record.
Upon the death of a ward and notification of the department, the guardianship record may be closed.
Subp. 3. Termination of guardianship.
Under Minnesota Statutes, section 525.60, the guardianship of an adult ward terminates upon death.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Minn. R. 9525.3095 Guardianship Training
The local agency shall establish a plan for the training of all county staff acting as public guardians. The plan must include at least ten hours of training annually in the areas of guardianship or developmental disabilities. Training and development sessions attended by county staff acting as public guardians must be documented and kept on file at the local agency.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276; L 2013 c 59 art 3 s 21
Minn. R. 9525.3100 Review of Public Guardianship Matters
Subpart 1. Informal review.
Informal review by the department of matters pertaining to public guardianship services is available upon request. Interested persons may request a review by submitting a written request directly to the department. A review by the department is not considered an appeal under Minnesota Statutes, section 256.045. An informal review does not preclude any appeal rights available under Minnesota Statutes, sections 525.71 to 525.731.
Subp. 2. De novo review.
The commissioner, ward, or any interested person may petition the appointing court or the court to which venue has been transferred to review de novo any decision made by the county staff acting as public guardian or the department staff acting as public guardian, on behalf of a ward according to Minnesota Statutes, section 252A.19, subdivision 2.
Subp. 3. Appeals.
Appeals from an order of public guardianship are governed by Minnesota Statutes, section 252A.21, subdivision 1.
History
- Statutory Authority: MS s 252A.21
- History: 17 SR 2276
Chapter 9530 CHEMICAL DEPENDENCY PROGRAMS
Minn. R. 9530.0100 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.0200 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.0300 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.0400 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.0500 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.0600 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.0700 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.0800 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.0900 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.1000 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.1100 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.1200 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.1300 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.1400 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.1500 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.1600 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.1700 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.2500 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.2600 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.2700 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.2800 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.2900 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3000 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3100 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3200 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3300 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3400 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3500 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3600 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3700 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3800 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.3900 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.4000 [Repealed, 12 SR 1451]
[Repealed, 12 SR 1451]
Minn. R. 9530.4100 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4110 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4120 Repealed by subpart
Subpart 1.
[Repealed, 29 SR 129]
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, 29 SR 129]
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 29 SR 129]
Subp. 6.
[Repealed, 29 SR 129]
Subp. 7.
[Repealed, 18 SR 2748]
Minn. R. 9530.4130 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9530.4200 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4210 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4220 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9530.4230 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4250 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4260 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4270 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4280 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4300 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4310 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4320 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4330 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4340 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4350 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4370 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4380 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4390 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4400 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4410 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.4450 [Repealed, 28 SR 211; 29 SR 129]
[Repealed, 28 SR 211; 29 SR 129]
Minn. R. 9530.5000 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.5100 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.5200 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.5300 Repealed by subpart
Subpart 1.
[Repealed, 29 SR 129]
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7.
[Repealed, 18 SR 2748]
Subp. 8.
[Repealed, 18 SR 2748]
Subp. 9.
[Repealed, 18 SR 2748]
Subp. 10.
[Repealed, 29 SR 129]
Subp. 11.
[Repealed, 18 SR 2748]
Minn. R. 9530.5400 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9530.5500 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.5600 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9530.5700 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.5800 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.5900 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9530.6000 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.6100 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.6200 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.6300 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.6400 [Repealed, 29 SR 129]
[Repealed, 29 SR 129]
Minn. R. 9530.6405 Repealed by subpart
Subpart 1.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 1a.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 2.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 3.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 4.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 5.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 6.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 7.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 7a.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 8.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 9.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 10.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 11.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 12.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 13.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 14.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 14a.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 15.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 15a.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 16.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 17.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 17a.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 17b.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 17c.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 18.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 19.
[Repealed, 32 SR 2268]
Subp. 20.
[Repealed, L 2017 1Sp6 art 8 s 77]
Subp. 21.
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6410 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6415 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6420 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6422 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6425 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6430 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6435 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6440 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6445 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6450 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6455 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6460 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6465 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6470 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6475 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6480 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6485 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6490 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6495 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6500 [Repealed, 18 SR 2748; L 2017 1Sp6 art 8 s 77]
[Repealed, 18 SR 2748; L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6505 [Repealed, L 2017 1Sp6 art 8 s 77]
[Repealed, L 2017 1Sp6 art 8 s 77]
Minn. R. 9530.6510 Definitions
Subpart 1. Scope.
As used in parts 9530.6510 to 9530.6590, the following terms have the meanings given in this part.
Subp. 1a. Administration of medications.
"Administration of medications" means performing a task to provide medications to a client, and includes the tasks in items A to E, performed in the following order:
A. checking the client's medication record;
B. preparing the medication for administration;
C. administering the medication to the client;
D. documenting the administration, or the reason for not administering the medications as prescribed; and
E. reporting information to a licensed practitioner or a nurse regarding problems with the administration of the medication or the client's refusal to take the medication.
Subp. 2. Applicant.
"Applicant" means an individual, partnership, voluntary association, corporation, or other public or private organization that submits an application for licensure under parts 9530.6510 to 9530.6590.
Subp. 3. Chemical.
"Chemical" means alcohol, solvents, controlled substances as defined in Minnesota Statutes, section 152.01, subdivision 4, and other mood altering substances.
Subp. 3a. Chemical dependency assessor.
"Chemical dependency assessor" means an individual qualified under part 9530.6615, subpart 2, to perform an assessment of chemical use.
Subp. 4. Client.
"Client" means an individual who presents or is presented for admission to a detoxification program that meets the criteria in part 9530.6525.
Subp. 5. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designated representative.
Subp. 6. Department.
"Department" means the Department of Human Services.
Subp. 7. Detoxification program.
"Detoxification program" means a licensed program that provides short-term care on a 24-hour a day basis for the purpose of detoxifying clients and facilitating access to chemical dependency treatment as indicated by an assessment of needs.
Subp. 8. Direct client contact.
"Direct client contact" has the meaning given in Minnesota Statutes, section 245C.02, subdivision 11.
Subp. 8a. Licensed practitioner.
"Licensed practitioner" means a person who is authorized to prescribe as defined in Minnesota Statutes, section 151.01, subdivision 23.
Subp. 9. Medical director.
"Medical director" means the individual, licensed under Minnesota Statutes, chapter 147, and employed or contracted by the license holder to direct and supervise health care for clients of a program licensed under parts 9530.6510 to 9530.6590.
Subp. 10. Nurse.
"Nurse" means a person licensed and currently registered to practice professional or practical nursing as defined in Minnesota Statutes, section 148.171, subdivisions 14 and 15.
Subp. 11. Program director.
"Program director" means the individual who is designated by the license holder to be responsible for all operations of a detoxification program and who meets the qualifications specified in part 9530.6565, subparts 1 and 3.
Subp. 12. Protective procedure.
"Protective procedure" means an action taken by a staff member of a detoxification program to protect a client from self-harm or harm to others. Protective procedures include the following actions:
A. seclusion, which means the temporary placement of a client, without the client's consent, in an environment to prevent social contact; and
B. physical restraint, which means the restraint of a client by use of equipment to limit the movement of limbs or use of physical holds intended to limit the body of movement.
Subp. 13. Responsible staff person.
"Responsible staff person" means the staff member of a license holder who is on the premises and is authorized to make immediate decisions concerning client care and safety, unless the decision is expressly assigned to another person, such as a licensed physician.
Subp. 13a. Substance.
"Substance" means "chemical" as defined in subpart 3.
Subp. 13b. Substance use disorder.
"Substance use disorder" means a pattern of substance use as defined in the most current edition of the Diagnostic and Statistical Manual of Mental Disorders-IV-TR (DSM), et seq. The DSM-IV-TR is incorporated by reference. The DSM-IV-TR was published by the American Psychiatric Association in 1994, in Washington D.C., and is not subject to frequent change. The DSM-IV-TR is available through the Minitex interlibrary loan system.
Subp. 14. Technician.
"Technician" means a person who meets the standards in part 9530.6565, subpart 5.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6515 Applicability
Parts 9530.6510 to 9530.6590 establishes minimum standards for detoxification programs with five or more beds licensed by the commissioner. Parts 9530.6510 to 9530.6590 do not apply to detoxification programs located in hospitals licensed under Minnesota Statutes, sections 144.50 to 144.581.
Detoxification programs located in hospitals licensed under Minnesota Statutes, sections 144.50 to 144.581 that choose to be licensed under parts 9530.6510 to 9530.6590, are considered in compliance with part 9530.6555.
History
- Statutory Authority: MS s 245A.09
- History: 29 SR 129
Minn. R. 9530.6520 Program Licensure
Subpart 1. General application and license requirements.
An applicant for licensure as a detoxification program must comply with the general requirements in Minnesota Statutes, chapters 245A, 245C, and 260E and section 626.557. Detoxification programs must be located in a hospital licensed according to Minnesota Statutes, sections 144.50 to 144.581, or must be a supervised living facility with a class B license from the Minnesota Department of Health under parts 4665.0100 to 4665.9900.
Subp. 2. Contents of application.
Prior to the issuance of a license, an applicant must submit, on forms provided by the commissioner, documentation demonstrating the following:
A. compliance with the provisions of parts 9530.6510 to 9530.6590;
B. compliance with applicable building, fire and safety codes, health rules, zoning ordinances, and other applicable rules and regulations or documentation that a waiver has been granted. The granting of a waiver does not constitute modification of any requirement of parts 9530.6510 to 9530.6590;
C. completion of an assessment of need for a new or expanded program; and
D. insurance coverage, including bonding, sufficient to cover all client funds, property, and interests.
Subp. 3. Changes in license terms.
A. A license holder must notify the commissioner before one of the following occurs and the commissioner must determine the need for a new license:
B. A license holder must notify the commissioner before one of the following occurs and must apply for a new license:
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6525 Admission and Discharge Policies
Subpart 1. Admission policy.
A license holder must have a written admission policy containing specific admission criteria. The policy must describe the admission process and the point at which a person who is eligible under subpart 2 is admitted to the program. License holders must not admit individuals who do not meet the admission criteria. The admission policy must be approved and signed by the medical director of the facility and designate which staff members are authorized to admit and discharge clients. The admission policy must be posted in the area of the facility where clients are admitted, or given to all interested persons upon request.
Subp. 2. Admission criteria.
A detoxification program may only admit persons who meet the admission criteria and who, at the time of admission:
A. appear intoxicated;
B. experience physical, mental, or emotional problems due to withdrawal from alcohol or other drugs;
C. are being held under apprehend and hold orders under Minnesota Statutes, section 253B.07, subdivision 2b;
D. have been committed under Minnesota Statutes, chapter 253B, and need temporary placement;
E. are held under emergency holds or peace and health officer holds under Minnesota Statutes, section 253B.051, subdivisions 1 and 2; or
F. need to stay temporarily in a protective environment because of a crisis related to substance use disorder. Persons meeting this criterion may be admitted only at the request of the county of fiscal responsibility, as determined according to Minnesota Statutes, section 256G.02, subdivision 4. Persons admitted according to this provision must not be restricted to the facility.
Subp. 3. Individuals denied admission by program.
A license holder must have a written plan for addressing the needs of individuals whose potential for medical problems may require acute medical care. This includes clients whose pregnancy, in combination with their presenting problem, requires services not provided by the program, and clients who pose a substantial likelihood of harm to themselves or others if their behavior is beyond the behavior management capabilities of the program and staff.
Subp. 4. Discharge and transfer policies.
A license holder must have a written policy, approved and signed by the medical director, that specifies conditions under which clients may be discharged or transferred. The policy must include the following:
A. guidelines for determining when a client is detoxified and whether a client is ready for discharge or transfer; and
B. procedures staff must follow, including the procedures for making reports to law enforcement agencies when appropriate, when discharging a client under each of the following circumstances:
Subp. 5. Establishing custody procedure.
Immediately upon a person's admission to the program according to the criteria in subpart 2, the license holder obtains custody of a person under a peace officer's hold, and is responsible for all requirements of client services until the person is discharged from the facility.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6530 Client Services
Subpart 1. Screening for substance use disorder.
A license holder must screen each client admitted to determine whether the client suffers from substance use disorder. The license holder must screen clients at each admission, except if the client has already been determined to suffer from substance use disorder, the provisions in subpart 2 apply.
Subp. 2. Chemical use assessment.
A license holder must provide or arrange for the provision of a chemical use assessment, according to parts 9530.6600 to 9530.6655, for each client who suffers from substance use disorder at the time the client is identified. If a client is readmitted within one year of the most recent assessment, an update to the assessment must be completed. If a client is readmitted and it has been more than one year since the last assessment, a new assessment must be completed. The chemical use assessment must include documentation of the appropriateness of an involuntary referral through the civil commitment process.
Subp. 3. Referrals.
A license holder must provide referrals to appropriate chemical dependency services as indicated by the chemical use assessment. Referrals may also be made for mental health, economic assistance, social services, and prenatal care and other health services as the client may require. Each referral must:
A. be individualized based on the client's chemical use assessment;
B. recognize geographical, economic, educational, religious, cultural, and employment status information as factors affecting access to services; and
C. be documented in the client's file.
Subp. 4. Client education.
A license holder must provide the information for obtaining assistance regarding:
A. substance use disorder, including the effects of alcohol and other drugs and specific information about the effects of chemical use on unborn children;
B. tuberculosis and reporting known cases of tuberculosis disease to health care authorities according to Minnesota Statutes, section 144.4804; and
C. HIV as required in Minnesota Statutes, section 245A.19, paragraphs (b) and (c).
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6535 Protective Procedures
Subpart 1. Use of protective procedures.
A. Protective procedures may be used only in cases where a less restrictive alternative will not protect the client or others from harm and when the client is in imminent danger of causing harm to self or to others. The procedures must end when the client is no longer dangerous.
B. Protective procedures may not be used:
Subp. 2. Protective procedures plan.
A license holder and applicant must have a written plan that establishes the protective procedures that program staff must follow when a client's behavior threatens the safety of the client or others. The plan must be appropriate to the type of facility and the level of staff training. The protective procedures plan must include:
A. approval signed and dated by the program director and medical director prior to implementation. Any changes to the plan must also be approved, signed, and dated by the program director and the medical director prior to implementation;
B. which protective procedures the license holder will use to prevent clients from harming self or others;
C. the emergency conditions under which the protective procedures are used, if any;
D. the client's health conditions that limit the specific procedures that can be used and alternative means of ensuring safety;
E. emergency resources the program staff must contact when a client's behavior cannot be controlled by the procedures established in the plan;
F. the training staff must have before using any protective procedure;
G. documentation of approved therapeutic holds; and
H. the use of law enforcement personnel.
Subp. 3. Records.
Each use of a protective procedure must be documented in the client record. The client record must include:
A. a description of specific client behavior precipitating a decision to use a protective procedure, including date, time, and program staff present;
B. the specific means used to limit the client's behavior;
C. the time the protective procedure began, the time the protective measure ended, and the time of each staff observation of the client during the procedure;
D. the names of the program staff authorizing the use of the protective procedure and the program staff directly involved in the protective procedure and the observation process;
E. the physician's order authorizing the use of restraints as required by subpart 6;
F. a brief description of the purpose for using the protective procedure, including less restrictive interventions considered prior to the decision to use the protective procedure and a description of the behavioral results obtained through the use of the procedure;
G. documentation of reassessment of the client at least every 15 minutes to determine if seclusion, physical hold, or use of restraint equipment can be terminated;
H. the description of the physical holds or restraint equipment used in escorting a client; and
I. any injury to the client that occurred during the use of a protective procedure.
Subp. 4. Standards governing emergency use of seclusion.
Seclusion must be used only when less restrictive measures are ineffective or not feasible. The standards in items A to G must be met when seclusion is used with a client.
A. Seclusion must be employed solely for the purpose of preventing a client from harming self or others.
B. Seclusion facilities must be equipped in a manner that prevents clients from self-harm using projections, windows, electrical fixtures, or hard objects, and must allow the client to be readily observed without being interrupted.
C. Seclusion must be authorized by the program director, a licensed physician, or registered nurse. If one is not present in the facility, one must be contacted and authorization obtained within 30 minutes of initiation of seclusion according to written policies.
D. Clients must not be placed in seclusion for more than 12 hours at any one time.
E. Clients in seclusion must be observed every quarter hour for the duration of seclusion and must always be within hearing range of program staff.
F. Program staff must have a process for removing a client to a more restrictive setting in the facility or have other resources available to the facility if seclusion does not sufficiently assure client safety.
G. Seclusion areas may be used for other purposes, such as intensive observation, if the room meets normal standards of care for the purpose and if the room is not locked.
Subp. 5. Physical holds or restraint equipment.
Physical holds or restraint equipment may only be used in cases where seclusion will not assure the client's safety and must meet the requirements in items A to C.
A. The following requirements apply to the use of physical holds or restraint equipment:
B. Restraint equipment must be designed, used, and maintained to ensure client protection from self-harm with minimal discomfort.
C. A client in restraint equipment must be checked for circulatory difficulties every 15 minutes. Restraint equipment must be loosened at least once every 60 minutes to allow change of position unless loosening the restraints would be dangerous to the client or others. If the restraint equipment is not loosened every hour, the client's behavior that prevented loosening the restraints must be documented in the client's file.
Subp. 6.
[Repealed, 32 SR 2268]
Subp. 7.
[Repealed, 32 SR 2268]
Subp. 8. Use of law enforcement.
A. Law enforcement shall only be called for a violation of the law by a client.
B. If a law enforcement agent uses any force or protective procedure which is not specified in the protective procedures plan for use by trained staff members the client must be discharged, according to part 9530.6525, subpart 4.
Subp. 9. Administrative review.
The license holder must keep a record of all protective procedures used and conduct a quarterly administrative review of the use of protective procedures. The record of the administrative review of the use of protective procedures must state whether:
A. the required documentation was recorded for each use of a protective procedure;
B. the protective procedure was used according to the protective procedures plan;
C. the staff who implemented the protective procedure were properly trained;
D. any patterns or problems indicated by similarities in the time of day, day of the week, duration of the use of a procedure, individuals involved, or other factors associated with the use of protective procedures;
E. any injuries resulting from the use of protective procedures;
F. actions needed to correct deficiencies in the program's implementation of protective procedures;
G. an assessment of opportunities missed to avoid the use of protective procedures; and
H. proposed actions to be taken to minimize the use of protective procedures.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6540 Grievance Procedures
A license holder must have a written grievance procedure that includes:
A. staff assistance in developing and processing the grievance;
B. an initial response to the client within 24 hours of the program's receipt of the grievance, and timelines for additional steps to be taken for resolving the grievance, including access to the person with the highest level of authority in the program if the grievance cannot be resolved by other staff members;
C. posting of the grievance policy in a place accessible to all clients; and
D. the addresses and telephone numbers of the Department of Human Services Licensing Division, the Minnesota Department of Health, Office of Health Facilities Complaints, the Minnesota Department of Health Alcohol and Drug Counselor Licensing Program, and the Office of the Ombudsman for Mental Health and Developmental Disabilities. The grievance policy must be made available to former clients of the program.
History
- Statutory Authority: MS s 245A.09
- History: 29 SR 129; L 2005 c 56 s 2
Minn. R. 9530.6545 Client Property Management
A license holder must meet the requirements for handling residential client funds and property in Minnesota Statutes, section 245A.04, subdivision 13, except:
A. a license holder may establish policies regarding the use of personal property to assure that program activities and the rights of other clients are not infringed, and may take temporary custody of personal property if these policies are violated;
B. a license holder must retain the client's property for a minimum of seven days after discharge if the client does not reclaim the property after discharge; and
C. the license holder must return to the client all property held in trust at discharge, regardless of discharge status, except that:
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6550 Health Services
A. License holders must have a standardized data collection tool for collecting health related information about each client. The data collection tool must be approved and signed by the medical director.
B. License holders must have written procedures for assessing and monitoring client health.
History
- Statutory Authority: MS s 245A.09
- History: 29 SR 129
Minn. R. 9530.6555 Medications
Subpart 1. Administration of medications.
A license holder must meet the requirements in items A and B if services include medication administration.
A. A staff member other than a licensed practitioner or nurse who is delegated by a licensed practitioner or a registered nurse the tasks of administration of medications or assistance with self-medications by a licensed practitioner or a registered nurse must:
B. A registered nurse must be employed or contracted to develop the policies and procedures for medication administration. A registered nurse must provide supervision as defined in part 6321.0100. The registered nurse supervision must include on-site supervision at least monthly or more often as warranted by the health needs of the client. The policies and procedures must include:
Subp. 2. Control of drugs.
A license holder must have in place and implement written policies and procedures developed by a registered nurse that contain the following provisions:
A. a requirement that all drugs must be stored in a locked compartment. Schedule II drugs, as defined by Minnesota Statutes, section 152.02, subdivision 3, must be stored in a separately locked compartment, permanently affixed to the physical plant or medication cart;
B. a system for accounting for all scheduled drugs each shift;
C. a procedure for recording the client's use of medication, including staff signatures with time and date;
D. a procedure for destruction of discontinued, outdated, or deteriorated medications;
E. a statement that only authorized personnel are permitted to have access to the keys to the locked drug compartments; and
F. a statement that no legend drug supply for one client may be given to another client.
History
- Statutory Authority: MS s 245A.09
- History: 29 SR 129
Minn. R. 9530.6560 Staffing Requirements
Subpart 1. Program director.
A license holder must employ or contract with a person, on a full-time basis, to serve as program director. The program director must be responsible for all aspects of the facility and the services delivered to the license holder's clients. An individual may serve as program director for more than one program owned by the same license holder.
Subp. 2. Responsible staff person.
During all hours of operation, a license holder must designate a staff member to be present and awake in the facility, and be responsible for the program. The responsible staff person must be employed by or under contract with the license holder and must have decision-making authority over the day-to-day operation of the program as well as the authority to direct the activity of or terminate the shift of any staff member who has direct client contact. The responsible staff person must have the ability to open all locks on exits in the facility. A technician who does not meet the requirements of part 9530.6565, subpart 5, must not be the designated responsible staff person.
Subp. 3. Technician required.
A license holder must have one technician awake on duty at all times for every ten clients in the program. A license holder may assign technicians according to the clients' need for care, except that the same technician must not be responsible for more than 15 clients at one time. For purposes of establishing this ratio, all staff whose qualifications meet or exceed those for technicians under part 9530.6565, subpart 5, and who are performing the duties of a technician may be counted as technicians. The same individual may not be counted as both a technician and a chemical dependency assessor.
Subp. 4. Registered nurse required.
A license holder must employ or contract with a registered nurse. The registered nurse must be responsible for:
A. establishing and implementing procedures for the provision of nursing care and delegated medical care, including:
B. delegating nursing functions to other staff consistent with their education, competence, and legal authorization;
C. assigning, supervising, and evaluating the performance of nursing tasks; and
D. implementing condition-specific protocols in compliance with Minnesota Statutes, section 151.37, subdivision 2.
Subp. 5. Medical director required.
A license holder must have a medical director available for medical supervision. The medical director is responsible for ensuring the accurate and safe provision of all health-related services and procedures. A license holder must obtain and document the medical director's annual approval of the following procedures before the procedures may be used:
A. admission, discharge, and transfer criteria and procedures;
B. health services plan;
C. physical indicators for physician or hospital referral and procedures for referral;
D. procedures to follow in case of accident, injury, or death of a client;
E. formulation of condition-specific protocols regarding the medications that require a withdrawal regimen that will be administered to clients;
F. infection control program;
G. protective procedures; and
H. medication control plan.
Subp. 6. Assessor required.
A detoxification program must provide the equivalent of one full-time assessor for every 15 clients served by the program and require a chemical use assessment according to part 9530.6530, subpart 2. The requirement may be met by part-time, full-time, or contracted staff or staff from another agency guaranteed by interagency contract, who meets the requirements of part 9530.6615, subpart 2.
Subp. 7. Ensuring staff-to-client ratio.
The responsible staff member under subpart 2 must ensure that the program does not exceed the staff-to-client ratio in subpart 3 and must inform admitting staff of the current staffed capacity of the program for that shift. A license holder must have a written policy for documenting staff-to-client ratios for each shift and actions to take when staffed capacity is reached.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6565 Staff Qualifications
Subpart 1. Qualifications for all staff who have direct client contact.
All staff who have direct client contact must be at least 18 years of age.
Subp. 2.
[Repealed, L 2022 c 98 art 12 s 21]
Subp. 3. Program director qualifications.
In addition to the requirements under subpart 1, a program director must:
A. have at least one year of work experience in direct service to individuals with substance use disorders or one year of work experience in the management or administration of direct service to individuals with substance use disorders;
B. have a baccalaureate degree or three years of work experience in administration or personnel supervision in human services; and
C. know and understand the implications of parts 9530.6510 to 9530.6590 and Minnesota Statutes, chapters 245A and 260E and sections 626.557 and 626.5572.
Subp. 4. Responsible staff person qualifications.
In addition to the requirements in subpart 1, each responsible staff person must know and understand the implications of parts 9530.6510 to 9530.6590 and Minnesota Statutes, chapter 260E and sections 245A.65, 253B.04, 253B.051, 626.557, and 626.5572.
Subp. 5. Technician qualifications.
A. In addition to the requirements in subpart 1, a technician employed by a detoxification program must demonstrate competency in the following areas:
B. An individual who does not meet all the qualifications specified in this subpart may be hired as a technician only if the license holder has a written plan for providing competency training in the areas specified in item A, and the individual completes that training within 30 days of the date of hire.
Subp. 6. Personal relationships.
A license holder must have a written policy addressing personal relationships between clients and staff who have direct client contact. The policy must:
A. prohibit direct contact between a client and a staff member if the staff member has had a personal relationship with the client within two years prior to the client's admission to the program;
B. prohibit access to a client's clinical records by a staff member who has had a personal relationship with the client within two years prior to the client's admission, unless the client consents in writing; and
C. prohibit a clinical relationship between a staff member and a client if the staff member has had a personal relationship with the client within two years prior to the client's admission. If a personal relationship exists, the staff member must report the relationship to his or her supervisor and recuse himself or herself from the clinical relationship with that client.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04; L 2022 c 98 art 12 s 20
- History: 29 SR 129; 32 SR 2268; L 2013 c 125 art 1 s 107; 47 SR 741
Minn. R. 9530.6570 Personnel Policies and Procedures
Subpart 1. Policy requirements.
A license holder must have written personnel policies and must make them available to staff members at all times. The personnel policies must:
A. assure that staff member's retention, promotion, job assignment, or pay are not affected by a good faith communication between a staff member and the Minnesota Department of Human Services, Minnesota Department of Health, the ombudsman for mental health and developmental disabilities, law enforcement, or local agencies that investigate complaints regarding client rights, health, or safety;
B. include a job description for each position that specifies responsibilities, degree of authority to execute job responsibilities, standards of job performance related to specified job responsibilities and qualifications;
C. provide for written job performance evaluations for staff members of the license holder at least annually;
D. describe the process for disciplinary action, suspension, or dismissal of a staff person for violating the drug and alcohol policy described in Minnesota Statutes, section 245A.04, subdivision 1, paragraph (c);
E. include policies prohibiting personal involvement with clients and policies prohibiting client maltreatment as specified under Minnesota Statutes, chapter 260E and sections 245A.65, 626.557, and 626.5572;
F. include a chart or description of organizational structure indicating the lines of authority and responsibilities;
G. include a written plan for new staff member orientation that, at a minimum, includes training related to the specific job functions for which the staff member was hired, program policies and procedures, client needs, and the areas identified in subpart 2, items A to F; and
H. include a policy on the confidentiality of client information.
Subp. 2. Staff development.
A license holder must ensure that each staff member working directly with clients receives at least 30 hours of continuing education every two years and that a written record is kept to demonstrate completion of that training. Training must be documented biannually on the subjects in items A to C, and annually on the subjects in items D to F. The following training must be completed:
A. specific license holder and staff responsibilities for client confidentiality;
B. standards governing use of protective procedures;
C. client ethical boundaries and client rights, including the rights of clients admitted under Minnesota Statutes, chapter 253B;
D. infection control procedures;
E. orientation and annual training for all staff with direct client contact on mandatory reporting under Minnesota Statutes, chapter 260E and sections 245A.65 and 626.557, including specific training covering the facility's policies concerning obtaining client releases of information;
F. HIV minimum standards as required in Minnesota Statutes, section 245A.19; and
G. orientation training must include eight hours of training on the protective procedures plan in part 9530.6535, subpart 2. Each staff person must receive updated training at least every two years and the training must include:
Subp. 3. Staff orientation.
Within 72 hours of beginning employment, all staff with direct client contact will receive orientation training that includes the topics in subpart 2, items A, C, E, and G. License holders who provide more extensive training to new staff members may extend the 72-hour orientation period, if the new staff members have no direct client contact until the orientation training is complete.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04; L 2022 c 98 art 12 s 20
- History: 29 SR 129; L 2005 c 56 s 2; 32 SR 2268; 47 SR 741
Minn. R. 9530.6575 Personnel Files
A license holder must maintain a separate personnel file for each staff member. At a minimum, the file must contain:
A. a completed application for employment signed by the staff member that contains the staff member's qualifications for employment and documentation related to the applicant's background study data, as defined in Minnesota Statutes, chapter 245C;
B. documentation verifying the staff member's current professional license or registration, if relevant;
C. documentation verifying the staff member's compliance with part 9530.6565;
D. documentation of orientation; and
E. an annual job performance evaluation.
History
- Statutory Authority: MS s 245A.09
- History: 29 SR 129
Minn. R. 9530.6580 Policy and Procedures Manual
A license holder must develop a written policy and procedures manual that is alphabetically indexed and has a table of contents, so that staff have immediate access to all policies and procedures and consumers of the services, and other authorized parties, have access to all policies and procedures. The manual must contain the following materials:
A. a description of client education services as required in part 9530.6530;
B. personnel policies that comply with part 9530.6570;
C. admission information and referral and discharge policies that comply with part 9530.6525;
D. a health monitoring plan that complies with part 9530.6550;
E. a protective procedures policy that complies with part 9530.6535, if the program elects to use protective procedures;
F. policies and procedures for assuring appropriate client to staff ratios that comply with part 9530.6560;
G. policies and procedures for assessing and documenting the susceptibility for risk of abuse to the client and using the client assessment as the basis for the abuse prevention plan required by Minnesota Statutes, section 245A.65;
H. procedures for mandatory reporting as required by Minnesota Statutes, chapter 260E and sections 245A.65 and 626.557;
I. a medication control plan that complies with part 9530.6555; and
J. policies and procedures regarding HIV that meet the minimum standards under Minnesota Statutes, section 245A.19.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6585 Client Records
Subpart 1. Client records required.
A license holder must maintain a file of current client records on the program premises where the treatment is provided. Each entry in each client case record must be signed and dated by the staff member making the entry. Client records must be protected against loss, tampering, or unauthorized disclosure in compliance with Minnesota Statutes, section 254A.09; Code of Federal Regulations, title 42, chapter 1, part 2, subpart B, sections 2.1 to 2.67, and Code of Federal Regulations, title 45, parts 160 to 164, and Minnesota Statutes, chapter 13.
Subp. 2. Records retention.
A license holder must retain the records of discharged clients for seven years, unless otherwise required by law. A license holder that ceases providing treatment or detoxification services must retain client records for seven years from the date the facility closed. The license holder must notify the commissioner of the location of the records and the name, address, and telephone number of a person responsible for maintaining the records.
Subp. 3. Contents of records.
Client records must include the following:
A. documentation of the client's presenting problem, any chemical use screening, the most recent assessment, and any updates;
B. an individual abuse prevention plan that complies with Minnesota Statutes, section 245A.65, and related rules;
C. documentation of referrals made according to part 9530.6530; and
D. documentation of observations as required by part 9530.6550.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6590 Data Collection Required
The license holder must participate in the drug and alcohol abuse normative evaluation system by submitting, in a format provided by the commissioner, information concerning each client admitted to the program.
History
- Statutory Authority: MS s 241.021; 245A.03; 245A.09; 254A.03; 254B.03; 254B.04
- History: 29 SR 129; 32 SR 2268
Minn. R. 9530.6600 Repealed by subpart
Subpart 1.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 2.
[Repealed, 32 SR 2268]
Subp. 3.
[Repealed, L 2020 c 74 art 3 s 13]
Minn. R. 9530.6605 Repealed by subpart
Subpart 1.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 2.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 3.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 4.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 5.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 6.
[Repealed, 32 SR 2268]
Subp. 7.
[Repealed, 32 SR 2268]
Subp. 8.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 9.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 10.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 10a.
[Repealed, 32 SR 2268]
Subp. 11.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 12.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 13.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 14.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 15.
[Repealed, 32 SR 2268]
Subp. 15a.
[Repealed, 32 SR 2268]
Subp. 16.
[Repealed, 32 SR 2268]
Subp. 17.
[Repealed, 32 SR 2268]
Subp. 18.
[Repealed, 32 SR 2268]
Subp. 19.
[Repealed, 32 SR 2268]
Subp. 20.
[Repealed, 32 SR 2268]
Subp. 21.
[Repealed, 32 SR 2268]
Subp. 21a.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 21b.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 22.
[Repealed, 32 SR 2268]
Subp. 23.
[Repealed, 32 SR 2268]
Subp. 24.
[Repealed, 32 SR 2268]
Subp. 24a.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 25.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 25a.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 26.
[Repealed, L 2020 c 74 art 3 s 13]
Minn. R. 9530.6610 Repealed by subpart
Subpart 1.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 2.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 3.
[Repealed, L 2020 c 74 art 3 s 13]
Subp. 4.
[Repealed, 32 SR 2268]
Subp. 5.
[Repealed, 20 SR 2474]
Subp. 5.
[Repealed, L 2020 c 74 art 3 s 13]
Minn. R. 9530.6615 [Repealed, L 2020 c 74 art 3 s 13]
[Repealed, L 2020 c 74 art 3 s 13]
Minn. R. 9530.6620 [Repealed, L 2020 c 74 art 3 s 13]
[Repealed, L 2020 c 74 art 3 s 13]
Minn. R. 9530.6622 [Repealed, L 2020 c 74 art 3 s 13]
[Repealed, L 2020 c 74 art 3 s 13]
Minn. R. 9530.6625 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.6630 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.6631 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.6635 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.6640 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.6641 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.6645 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.6650 Repealed by subpart
Subpart 1.
[Repealed, 32 SR 2268]
Subp. 2.
[Repealed, 32 SR 2268]
Subp. 3.
[Repealed, 16 SR 391]
Subp. 3a.
[Repealed, 32 SR 2268]
Subp. 4.
[Repealed, 32 SR 2268]
Minn. R. 9530.6655 [Repealed, L 2020 c 74 art 3 s 13]
[Repealed, L 2020 c 74 art 3 s 13]
Minn. R. 9530.6660 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.6800 [Repealed, L 2021 c 30 art 2 s 5]
[Repealed, L 2021 c 30 art 2 s 5]
Minn. R. 9530.6810 [Repealed, L 2021 c 30 art 2 s 5]
[Repealed, L 2021 c 30 art 2 s 5]
Minn. R. 9530.7000 Repealed by subpart
Subpart 1.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 2.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 3.
[Repealed, 32 SR 2268]
Subp. 4.
[Repealed, 32 SR 2268]
Subp. 5.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 6.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 7.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 8.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 9.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 9a.
[Repealed, 32 SR 2268]
Subp. 10.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 11.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 12.
[Repealed, 32 SR 2268]
Subp. 13.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 14.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 15.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 16.
[Repealed, 32 SR 2268]
Subp. 17.
[Repealed, 32 SR 2268]
Subp. 17a.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 18.
[Repealed, 32 SR 2268]
Subp. 19.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 20.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 21.
[Repealed, L 2023 c 50 art 2 s 63]
Minn. R. 9530.7005 [Repealed, L 2023 c 50 art 2 s 63]
[Repealed, L 2023 c 50 art 2 s 63]
Minn. R. 9530.7010 [Repealed, L 2023 c 50 art 2 s 63]
[Repealed, L 2023 c 50 art 2 s 63]
Minn. R. 9530.7012 [Repealed, L 2023 c 50 art 2 s 63]
[Repealed, L 2023 c 50 art 2 s 63]
Minn. R. 9530.7015 Repealed by subpart
Subpart 1.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 2.
[Repealed, 32 SR 2268]
Subp. 2a.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 3.
[Repealed, 32 SR 2268]
Subp. 4.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 5.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 6.
[Repealed, L 2023 c 50 art 2 s 63]
Minn. R. 9530.7020 Repealed by subpart
Subpart 1.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 1a.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 2.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 3.
[Repealed, 15 SR 1540]
Subp. 4.
[Repealed, 15 SR 1540]
Minn. R. 9530.7021 [Repealed, L 2023 c 50 art 2 s 63]
[Repealed, L 2023 c 50 art 2 s 63]
Minn. R. 9530.7022 Repealed by subpart
Subpart 1.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 2.
[Repealed, 32 SR 2268]
Minn. R. 9530.7024 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Minn. R. 9530.7025 [Repealed, L 2023 c 50 art 2 s 63]
[Repealed, L 2023 c 50 art 2 s 63]
Minn. R. 9530.7030 Repealed by subpart
Subpart 1.
[Repealed, L 2023 c 50 art 2 s 63]
Subp. 2.
[Repealed, 32 SR 2268]
Subp. 3.
[Repealed, 32 SR 2268]
Subp. 4.
[Repealed, 32 SR 2268]
Minn. R. 9530.7031 [Repealed, 32 SR 2268]
[Repealed, 32 SR 2268]
Chapter 9533 CERTIFICATION OF INTEGRATED TREATMENT
Minn. R. 9533.0010 Applicability
Subpart 1. Purpose and applicability.
Parts 9533.0010 to 9533.0180 provide methods, procedures, and practice standards relating to the establishment and operation of certified integrated treatment programs for providers who elect to become certified.
Subp. 2. Optional certification.
A program that provides integrated treatment, co-occurring disorder treatment, co-occurring capable treatment, or other forms of treatment designed to address co-occurring mental illness and substance use disorders in adults or children is not required to obtain an integrated treatment certification.
Subp. 3. Substitution of requirements.
A certificate holder must substitute the requirements of this chapter for requirements in other department rules in accordance with parts 9533.0090, subpart 1, and 9533.0100, subpart 2. A certificate holder that is also licensed as a chemical dependency program in accordance with Minnesota Statutes, chapter 245A and section 245G.03, must substitute the requirements of parts 9533.0010 to 9533.0180 for the requirements in Minnesota Statutes, section 245G.20.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0020 Definitions
Subpart 1. Scope.
For purposes of parts 9533.0010 to 9533.0180, the following terms have the meanings given them.
Subp. 2. Alcohol and drug counselor.
"Alcohol and drug counselor" has the meaning given in Minnesota Statutes, section 148F.01, subdivision 5.
Subp. 3. Care coordination.
A. "Care coordination," for an adult, means helping the client obtain the services and supports needed by the client, and ensuring coordination and consistency of care across these services and supports, ensuring ongoing evaluation of treatment progress and client needs to establish a lifestyle free from the harmful effects of substance use and oriented toward ongoing recovery from a co-occurring substance use disorder and mental illness. Examples of services and supports include medical, social, educational, and vocational services. For the purposes of this chapter, the phrase "care coordination" is interchangeable with the phrases "service coordination" and "case management."
B. "Care coordination," for a child, means a community intervention to ensure the consistency of care and coordination of services and supports across the child's medical, social service, school, probation, and other services, oriented toward aiding the child in refraining from substance use and ongoing recovery from mental disorders. For the purposes of this chapter, the phrase "care coordination" is interchangeable with the phrases "service coordination" and "case management."
Subp. 4. Certificate holder.
"Certificate holder" means a controlling person for the corporation, partnership, or other organization, who is legally responsible for the operation of the integrated treatment program certified under this chapter.
Subp. 5. Certification.
"Certification" means the commissioner's written authorization that the program meets the conditions to be certified under this chapter as an integrated treatment program.
Subp. 6. Certified integrated treatment program.
"Certified integrated treatment program" means a program that meets the requirements of parts 9533.0010 to 9533.0170.
Subp. 7. Certified peer specialist or peer specialist.
"Certified peer specialist" or "peer specialist" means a person who the commissioner has certified as a peer specialist and meets the requirements of either Minnesota Statutes, section 256B.0615, subdivision 5, for services provided to adults, or section 256B.0947, subdivision 2, paragraph (h), for services provided to children.
Subp. 8. Chemical dependency.
"Chemical dependency" means a substance use disorder.
Subp. 9. Child with severe emotional disturbance.
"Child with severe emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 6.
Subp. 10. Client.
"Client" means a person accepted by a certified integrated treatment program for assessment or treatment of co-occurring disorders. A person remains a client until the program no longer provides or plans to provide integrated treatment services to that client.
Subp. 11. Cognitive-behavioral approaches, techniques, and strategies.
"Cognitive-behavioral approaches, techniques, and strategies" means therapeutic approaches, techniques, and strategies founded in the theories of cognitive-behavioral counseling, which is a general approach to psychotherapy based on the systematic application of theories about learning to human problems. Cognitive-behavioral counseling emphasizes development of new skills and competencies for overcoming problems and achieving life goals.
Subp. 12. Collateral sources.
"Collateral sources" means persons who possess clinically relevant information about the client, including family members, caregivers, teachers, community agencies, and previous treatment providers.
Subp. 13. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designee.
Subp. 14. Competency.
"Competency" means possession of the requisite abilities to fulfill work obligations.
Subp. 15. Co-occurring substance use disorder and mental illness or co-occurring disorders.
"Co-occurring substance use disorder and mental illness" or "co-occurring disorders" means a diagnosis of at least one substance use disorder that involves alcohol or drug use, excluding the use of nicotine, and at least one form of mental illness.
Subp. 16. Counseling.
"Counseling" means the use of skills to assist individuals, families, or groups in achieving objectives through exploration of a problem and its ramifications; the examination of attitudes and feelings; the consideration of alternative solutions; and decision making.
Subp. 17. Department.
"Department" means the Department of Human Services.
Subp. 18. Diagnostic assessment.
"Diagnostic assessment" has the meaning given in part 9505.0370, subpart 11. A diagnostic assessment must be provided according to part 9505.0372, subpart 1.
Subp. 19. Emotional disturbance.
"Emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 15, as applied to a child.
Subp. 20. Evidence-based practices.
"Evidence-based practices" means nationally recognized treatments, techniques, and therapeutic approaches that are supported by substantial research and shown to be effective in helping individuals with serious mental illness and substance use disorders obtain specific treatment goals.
Subp. 21. Illness management and recovery or IMR.
"Illness management and recovery" or "IMR" means the mental health evidence-based best practice that helps clients manage their illness more effectively in the context of pursuing their personal recovery goals.
Subp. 22. Integrated assessment.
"Integrated assessment" means an assessment that identifies the interaction between substance use and mental health symptoms and disorders and how this relates to treatment during periods of both stability and crisis. The assessment analyzes and uses data on one disorder in light of data related to another disorder, which includes the history of both disorders and the interactions between them. The integrated assessment is a formal process of conducting clinical interviews, using standardized instruments, and reviewing existing information. The integrated assessment results form the basis for a summary and recommendations used to establish the integrated treatment plan.
Subp. 23. Integrated treatment.
"Integrated treatment" means the integration of documented clinical services and documented treatment for substance use disorders and mental illness to produce better patient outcomes. It includes treatment coordination, organizational policy, and treatment practice within an entire agency to help practitioners provide integrated treatment.
Subp. 24. Integrated treatment plan.
"Integrated treatment plan" means a single treatment plan that addresses both the client's mental health and substance use disorders, and integrates information obtained during the screening, diagnostic assessment, functional assessment, and contextual analysis into a set of actions to be taken by the treatment team. The plan is an evolving document that the certificate holder continues to review and refine throughout treatment.
Subp. 25. Level of care.
"Level of care" means the intensity of services being provided based on the assessed needs of the client. The number of hours of care and the credentials of the individual providing the care reflect the level of care.
Subp. 26. Mental illness.
A. "Mental illness," for a child, has the meaning given in Minnesota Statutes, section 245.4871, subdivision 6 or 15.
B. "Mental illness," for an adult, has the meaning given in Minnesota Statutes, section 245.462, subdivision 20.
Subp. 27. Program of origin.
"Program of origin" means the licensed or certified program eligible for certification as an integrated treatment program under part 9533.0030, subpart 1.
Subp. 28. Protocol.
"Protocol" means a set of steps or actions to be taken to implement a process or standard procedure.
Subp. 29. Psychoeducation.
"Psychoeducation" means individual, family, or group services designed to educate and support the individual and family in understanding symptoms, treatment components, and skill development; preventing relapse; and achieving optimal mental and chemical health and long-term resilience.
Subp. 30. Recovery coach.
"Recovery coach" means an individual who has a mental health disorder, substance use disorder, or co-occurring disorder, or an individual who has experience with addiction or mental illness in the individual's family, or in close friendships, and has had experience that supports the individual's understanding of the complications of the disorders. Recovery coaches provide a set of nonclinical, peer-based activities that engage, educate, and support an individual with co-occurring disorders, using the coach's own personal, lived experiences of recovery.
Subp. 31. Recovery philosophy.
"Recovery philosophy" means a philosophical framework for organizing health and human service systems that affirms hope for successful treatment and ongoing long-term treatment success, and includes a significant reduction in acute and chronic symptoms, a focus on client strengths, and the availability of a wide spectrum of services and supports that promote resilience and reduce the risk of relapse and its harmful effects.
Subp. 32. Screening.
"Screening" means a brief process that occurs soon after an individual seeks services and indicates whether the individual is likely to have co-occurring mental health and substance use disorders.
Subp. 33. Staff or staff member.
"Staff" or "staff member" means an individual who works under the direction of the certificate holder regardless of the individual's employment status. Examples include interns, consultants, and other individuals who work part time or who volunteer, and individuals who do not provide direct contact services as defined in Minnesota Statutes, section 245C.02, subdivision 11.
Subp. 34. Stage of change.
"Stage of change" means an individual process involving progress through a series of psychological stages that relate to treatment readiness and acceptance of one's problems. These stages are typically described as:
A. precontemplation, which refers to the stage at which one is not intending to take action in the foreseeable future, and unaware that one's behavior is problematic;
B. contemplation, which refers to the stage at which one is beginning to recognize that one's behavior is problematic, and beginning to look at the pros and cons of one's continued actions;
C. preparation, which refers to the stage at which one is leaning toward taking action in the immediate future, and may begin taking small steps toward behavior change;
D. action, which refers to the stage at which one is making specific, overt modifications in modifying problem behaviors or in acquiring new healthy behaviors; and
E. maintenance, which refers to the stage at which one is sustaining action over time and working to prevent relapse.
Subp. 35. Stage of treatment.
"Stage of treatment" means specific, identifiable phases of treatment that include:
A. engagement, which is forming a trusting working alliance or relationship between the provider and the client;
B. persuasion, which is helping the engaged client develop the motivation to participate in recovery-oriented interventions;
C. active treatment, which is helping the motivated client acquire skills and supports for managing illnesses and pursuing goals; and
D. maintenance, which is helping the client to sustain relapse prevention, or helping a client in stable remission develop and use strategies for maintaining recovery.
Subp. 36. Stage-wise treatment.
"Stage-wise treatment" means interventions tailored to a client's stage of treatment by considering a client's readiness for and attitudes toward change, and whether the client is at the engagement, persuasion, active treatment, or relapse-prevention stage of treatment that is documented. The objective is to maintain a productive working relationship by avoiding pressure on the client to change too much, too quickly. Stage-wise treatment is based on research that shows that interventions appropriate at one stage may be ineffective or contraindicated at another stage.
Subp. 37. Substance use disorder.
"Substance use disorder" means a pattern of substance use as defined in the Diagnostic and Statistical Manual of Mental Disorders, 5th edition (DSM), and subsequent editions of the DSM. The section of the DSM that defines "substance use disorder" is incorporated by reference. The current DSM was published by the American Psychiatric Association in 2013. It is not subject to frequent change. The DSM is available through the Minitex interlibrary loan system.
Subp. 38. Telehealth.
For integrated treatment, "telehealth" has the meaning given to the phrase "mental health telehealth" in Minnesota Statutes, section 256B.0625, subdivision 46, when telehealth is used to provide integrated treatment.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0030 Eligibility for Certification
Subpart 1. Eligibility.
An eligible provider must meet the requirements of parts 9533.0010 to 9533.0170, and be one or more of the following:
A. certified by the commissioner as a community mental health center or clinic under Minnesota Statutes, section 245.69, subdivision 2;
B. licensed by the commissioner as a nonresidential or residential chemical dependency treatment facility under chapter 9530 and Minnesota Statutes, section 254B.05;
C. licensed by tribal government as an American Indian program that provides treatment for substance use disorders or mental health services;
D. licensed by the commissioner to provide adult intensive rehabilitative mental health services under Minnesota Statutes, section 256B.0622, or certified by the commissioner as an adult rehabilitative mental health service under Minnesota Statutes, section 256B.0622 or 256B.0623;
E. authorized by the commissioner to provide intensive nonresidential rehabilitative mental health services to recipients ages 16 to 21 under Minnesota Statutes, section 256B.0947;
F. licensed by the commissioner to operate a facility that provides residential care, treatment, or rehabilitation services on a 24-hour basis to children under part 2960.0430 or 2960.0580; or
G. a hospital facility licensed by the Department of Health under Minnesota Statutes, chapter 144.
Subp. 2. Compliance with preexisting requirements.
The requirements of parts 9533.0010 to 9533.0140 are in addition to the statutory and rule requirements of the Department of Human Services or the Department of Health, whichever department regulates the program of origin or, in the case of tribal licensure, the tribal requirements that govern the program of origin. Failure to be in compliance with these additional requirements governing the program of origin is deemed to be a violation of this subpart.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0040 Target Population
The target population is individuals experiencing problems with a substance use disorder and mental illness whose acute or chronic symptoms would be best served through integrated treatment. The certificate holder must be capable of providing integrated treatment for the target population, but the certificate holder may elect to treat a broader continuum of individuals in its program. The target population typically includes the following:
A. an individual assessed as having both a substance use disorder and, for an adult, a diagnosis of schizophrenia, schizoaffective disorder, or a major mood disorder, including major depressive disorder and bipolar disorder; or, for a child, an emotional disturbance or severe emotional disturbance according to Minnesota Statutes, section 245.4871, subdivisions 6 and 15; or
B. an individual with co-occurring disorders and impaired role functioning demonstrated by one or more of the following characteristics:
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0050 Policies, Procedures, and Protocols
Subpart 1. Policies, procedures, and protocols.
In accordance with Minnesota Statutes, section 245A.04, subdivision 14, the certificate holder must have written program policies, procedures, and protocols necessary to maintain compliance with parts 9533.0010 to 9533.0180 and must adhere to these policies, procedures, and protocols. The certificate holder must make program policies, procedures, and protocols readily accessible to staff and list the policies, procedures, and protocols with a table of contents or another method approved by the commissioner that enables staff to readily find the policies, procedures, and protocols.
Subp. 2. Medicine and drug management requirements.
If the certificate holder's services include medication or drug administration that is not already governed by other law stating medication and drug management requirements, the certificate holder must adopt a policy that includes, at a minimum, the requirements in Minnesota Statutes, section 245G.08, subdivisions 5 and 6.
Subp. 3. Behavioral emergency procedures.
The certificate holder must:
A. for adult programs, adopt a policy that incorporates behavioral emergency procedures in Minnesota Statutes, section 245G.16, and mental health crisis stabilization services in Minnesota Statutes, section 256B.0624, subdivision 2, paragraph (e); and
B. for children's programs, adopt a policy that incorporates behavioral emergency procedures in Minnesota Statutes, section 245G.16, and response actions required under Minnesota Statutes, section 256B.0944, subdivisions 6 to 8.
Subp. 3a. Illness management and recovery principles.
The certificate holder must describe in its policies and procedures how principles of illness management and recovery will be infused throughout integrated treatment.
Subp. 4. Training and implementation.
In accordance with Minnesota Statutes, section 245A.04, subdivision 14, the certificate holder shall:
A. train program staff to implement their duties according to the program's policies, procedures, and protocols;
B. document the provision of this training; and
C. monitor implementation of policies and procedures by program staff.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0060 Program Structure and Practice Principles
Subpart 1. Program structure.
The certificate holder must:
A. adopt a program mission statement stating that the certificate holder is able to provide and offer integrated treatment;
B. establish an integrated treatment organizational structure which reflects the practice principles defined in subpart 2 and supports the provision of services according to parts 9533.0070 to 9533.0170 to facilitate the integration of substance use disorder and mental health treatment services; and
C. provide integrated treatment through a multidisciplinary team according to part 9533.0110.
Subp. 2. Practice principles.
The certificate holder must establish its integrated treatment program based on a set of core practice principles. These principles require the certificate holder to:
A. view a client as able to:
B. provide stage-wise treatment conducted using interventions that are stage-appropriate and individualized based on the client's stage of readiness for, and attitudes about, change;
C. provide strengths-based treatment that identifies and capitalizes on existing client strengths and seeks to maximize opportunities to enhance new strengths;
D. provide mental illness and substance use disorder treatment within the same episode of care;
E. use a single integrated treatment plan to address co-occurring disorders and identify integrated treatment interventions;
F. address the complexity of client needs to support recovery in other major life areas, such as physical health issues, housing, and employment;
G. involve family, guardians, or other support figures in the treatment process through input to and feedback from support figures, before, during, and after treatment, except when involvement is counter-therapeutic or such figures are unable or unwilling to participate;
H. provide psychoeducation for the client, the client's family, guardians, and other support figures regarding the interaction of mental health and substance use disorders;
I. provide treatment tailored to the client's developmental and cognitive level;
J. incorporate evidence-based treatment practices shown to be effective in treating mental illness, substance use disorders, and co-occurring disorders;
K. focus on ongoing engagement through treatment services that are based not on an episode of care, but on continual assessment of progress and recovery;
L. endorse a recovery philosophy reflected in a formal mechanism for follow-up care, with an equal focus on treatment for substance use disorders and mental illness;
M. recognize that although full recovery from both substance use and mental health disorders is an ideal goal, repeated interventions may be needed over the long term and symptom reduction is considered progress; and
N. recognize and respond to issues related to culture, ethnicity, race, acculturation, and historical trauma, and recognize the client's cultural beliefs and values through culturally responsive, trauma-informed services.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0070 Screening Requirements
Subpart 1. Screening required.
The certificate holder must ensure that staff who perform chemical dependency assessments screen clients for mental health disorders and staff who perform mental health diagnostic assessments screen for substance use disorders.
Subp. 2. Protocol.
The certificate holder must adopt a written screening protocol that sets out the requirements in items A to C.
A. The certificate holder must screen clients who are age 12 and older.
B. Screening for co-occurring disorders is required at least annually for each client, and when staff perform a mental health diagnostic assessment or a substance use disorder assessment. Notwithstanding this requirement, screening is not required when:
C. The certificate holder must set out in the protocol the screening process it uses. The protocol must state:
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0080 Diagnosis
The certificate holder must make a preliminary determination and document whether the client has a co-occurring substance use disorder and mental illness. The certificate holder must obtain the diagnosis or diagnoses in one of the following ways:
A. document existing diagnoses determined by the referral source, if the diagnoses:
B. perform a diagnostic assessment as defined in part 9505.0372, subpart 1.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0090 Integrated Assessment
Subpart 1. Integrated assessment required.
When the certificate holder has made a preliminary determination that the client has a co-occurring substance use disorder and mental illness, the certificate holder must complete an integrated assessment that includes all of the information required in subparts 4 to 6 and part 9505.0372, subpart 1, and Minnesota Statutes, section 245G.05, subdivision 1. The certificate holder must substitute the requirements of this part for the requirements in parts 2960.0450, subpart 2, item A; 9505.0372, subpart 1; and 9520.0790, subpart 3; and Minnesota Statutes, section 245G.05, subdivision 1; as applicable, for a client who is receiving integrated treatment.
Subp. 2. Second assessment not required.
Notwithstanding the requirement in subpart 1, if the certificate holder has performed a diagnostic assessment for the purpose of complying with part 9533.0080, then the certificate holder does not need to comply a second time with the requirements in part 9505.0372, subpart 1, as part of the integrated assessment.
Subp. 3. Timing.
For residential programs, the integrated assessment must be completed no more than ten days after admission. For outpatient programs, the integrated assessment must be completed within the first three client sessions. For all programs that provide treatment for children, the certificate holder must prepare a new integrated assessment for a child client every six months.
Subp. 4. Supplemental information.
The integrated assessment must include:
A. a level of care assessment using a standardized tool, if a level of care determination has not been made within the previous 30 days. The level of care assessment must document how the needs of the client match the corresponding level of care of integrated treatment determined necessary;
B. a longitudinal review of the interaction between substance use and psychiatric symptoms and the consequences to the client's health, relationships, and emotional functioning;
C. an assessment of a client's stage of treatment and motivation for change;
D. documentation of a client's relevant strengths and indication of how these may be useful in treatment; and
E. information from collateral sources about the client when available.
Subp. 5. Integrated assessment summary.
The certificate holder must use the comprehensive information gathered during the assessment process to culminate in an integrated assessment summary that will later lead to the creation of a single integrated treatment plan. This integrated assessment summary must include:
A. a case conceptualization that identifies antecedents, responses toward, and consequences of symptoms and maladaptive behaviors of both disorders and their interaction across key areas of a client's life functions;
B. a description of how the client's symptoms and behaviors associated with one disorder affect or impact the expression of symptoms and severity of the other disorder;
C. a description of situational factors in which the client's substance use behavior is typically triggered or is typically absent;
D. a description of the client's domains of behavior and symptoms that have been most challenging to recovery or have led to crises;
E. a description of the factors that contribute to the client's stability and relapse for both disorders and how the interaction of the disorders affects stability and ability to benefit from treatment;
F. consideration of referral for pharmacological treatments; and
G. a preliminary treatment plan that states specific treatment recommendations. When developing these treatment recommendations, the certificate holder must consider:
Subp. 6. Post-assessment determination about program suitability.
When the client is confirmed through the assessment process to have co-occurring disorders, the certificate holder must review the assessment results and conclusions and document whether the integrated treatment program is appropriate to meet the client's needs. If not, the certificate holder must refer the client to an appropriate program or provider for treatment.
Subp. 7. Integrated assessment updates.
For adult clients, the integrated assessment must be updated annually. Notwithstanding this requirement, the integrated assessment must be promptly updated if the multidisciplinary treatment team determines that the client's co-occurring condition has significantly changed. The integrated assessment update must:
A. update the most recent integrated assessment information referred to in subparts 1, 4, and 5 based on an interview with the client;
B. include a written update of those areas where significant new or changed information exists; and
C. document those areas where there has been no significant change.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0100 Integrated Treatment Plan
Subpart 1. Integrated treatment plan requirements.
The certificate holder must:
A. adopt a protocol that requires completion of an integrated treatment plan:
B. prepare the client's integrated treatment plan by integrating information obtained during the processes described in parts 9533.0080 and 9533.0090 into a set of actions to be taken by the treatment team; and
C. adopt a protocol that requires review of and updates to the integrated treatment plan based on client progress and response to treatment:
Subp. 2. Substitution of requirements.
The certificate holder must substitute the requirements of this part for the requirements in parts 2960.0490, subparts 1, 2, 2a, 3, and 5; 9505.0371, subpart 7, item C; and 9520.0790, subpart 4; and Minnesota Statutes, section 245G.06, subdivisions 1, 2, and 3, as applicable, for a client who is receiving integrated treatment.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0110 Staffing Requirements
Subpart 1. Multidisciplinary team.
The certificate holder must provide integrated treatment through a multidisciplinary team of persons who are either employed by or have a written agreement to provide services for the certificate holder. The multidisciplinary team must include:
A. a prescribing provider who is one of the following:
B. an integrated treatment team leader who meets the requirements of part 9505.0371, subpart 5, item D, subitems (1) to (6), or Minnesota Statutes, section 245G.11, subdivision 4, and who:
C. a mental health professional who is qualified in one of the following ways:
D. a care coordinator who provides the services described in part 9533.0020, subpart 3;
E. a licensed alcohol and drug counselor as described in Minnesota Statutes, section 148F.01, subdivision 5, or a counselor who otherwise meets the training, experience, and other requirements in Minnesota Statutes, section 245G.11, subdivision 5; and
F. in programs for adults:
Subp. 2. Staffing.
A. Each multidisciplinary team member must provide an average of at least eight hours per week of integrated treatment within the program.
B. If a team member fulfills the requirements for more than one of the types of multidisciplinary team professionals required in subpart 1, items A to F, then the team member may fulfill the roles of two multidisciplinary team professionals. Only one team member may fulfill two roles.
C. Team members may provide integrated treatment through telehealth.
D. A client may elect to receive psychiatric services from a provider who is not a member of the multidisciplinary team but with whom the client has a preexisting relationship. If the client does so, the multidisciplinary team must provide related care coordination according to part 9533.0120, subpart 6.
Subp. 3. Competency.
Screening, assessment, and integrated treatment must be provided by staff who have demonstrated competency in their scope of practice.
Subp. 4. Documentation of qualifications.
The certificate holder must maintain all staff qualification documentation in the employee's personnel file or other appropriate personnel record.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0120 Staff Responsibilities During Assessment and Treatment
Subpart 1. Treatment team leader.
Staff must have routine access to a certified or approved integrated treatment team leader for the treatment of co-occurring disorders. The integrated treatment team leader must be on site or available for consultation. The integrated treatment team leader must supervise the integrated case consultation required under subpart 4. The integrated treatment team leader must:
A. in the instance of a mental health professional acting as the supervisor, comply with the requirements of part 9505.0371, subpart 5, item D, subitems (7) to (16); and
B. in the instance of an individual other than a mental health professional acting as the supervisor, comply with the requirements of part 9505.0371, subpart 5, item D, subitems (8) and (11) to (16).
Subp. 2. Staff role in integrated assessment.
The certificate holder must establish a protocol for the multidisciplinary team to:
A. participate in information gathering to inform an integrated assessment that addresses both the substance use disorder and mental illness, and the interaction of the disorders; and
B. be accountable for the collaborative development of an integrated assessment through formal interaction and cooperation in initial assessment, ongoing reassessment, treatment plan updates, and treatment.
Subp. 3. Staff role in integrated treatment.
The certificate holder must establish a protocol for the multidisciplinary team to:
A. participate in the development of a single treatment plan that addresses both the substance use disorder and mental illness, and the interaction of the disorders; and
B. be accountable for the collaborative implementation of the treatment plan through formal interaction and cooperation in ongoing reassessment and treatment of the client.
Subp. 4. Integrated case consultation.
The certificate holder must perform integrated case consultation for collaborative review of the client's progress and response to treatment. During the integrated case consultation, the certificate holder must:
A. ensure the consultation is supervised by the integrated treatment team leader;
B. address high-risk clients;
C. use a standard, structured format;
D. use a multidisciplinary perspective based on attendance of all of the multidisciplinary team members identified in part 9533.0110, subpart 1, to contribute to treatment plan development and ongoing treatment adjustment; and
E. update the integrated treatment plan in accordance with part 9533.0100.
Subp. 5. Monitoring during treatment.
The certificate holder must:
A. document that staff monitor and assess the interactive courses of both the mental health and substance use disorders during treatment;
B. describe the history, chronology, and interaction of both disorders in a specific section of the client's record; and
C. examine the information described in item B with a long-term view.
Subp. 6. Care coordination.
The certificate holder must provide care coordination.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0130 Core Treatment Services
Subpart 1. Required services.
Unless the certificate holder has documented clinical contraindication of a service for the client and the rationale for the contraindication, the certificate holder must offer, or have a written agreement in place to offer, and must document the provision of the services in subparts 2 to 9 to program clients.
Subp. 2. Stage-based individual and group modalities.
A. The certificate holder must adopt and routinely use a protocol to assess and reassess stage of treatment and stage of change.
B. The certificate holder must offer individual and group modalities that consider the client's stage of treatment to help the client:
C. Treatment delivered in a group modality must provide each individual in the group with stage-appropriate treatment and must include:
Subp. 3. Engagement and outreach techniques.
The certificate holder must offer an array of assertive engagement outreach techniques. The techniques must be appropriate to the individual's stage of change and designed to:
A. engage the client in treatment; and
B. foster a therapeutic relationship.
Subp. 4. Evidence-based practices for delivering treatment.
The certificate holder must use evidence-based practices for delivering treatment when clinically indicated for the client in the judgment of the treatment team (clinically indicated).
A. When clinically indicated, the certificate holder must use motivational interviewing to help the client:
B. When clinically indicated, the certificate holder must use at least one other permissible evidence-based practice. Other permissible evidence-based practices include cognitive-behavioral approaches and other practices supported by the professional literature and appropriate for the client's particular mental illness.
Subp. 5. Family-based interventions.
The certificate holder must offer family-based interventions that use evidence-based practices, when the certificate holder determines these interventions are available for the client's particular disorders.
Subp. 6. Psychoeducation.
The certificate holder must offer psychoeducation about the possible interactions between mental health disorders and substance use disorders, including how the disorders may worsen one another, to:
A. the client. Psychoeducation must also include information about the specific disorders experienced by the client, including treatment information, characteristics, and the interactive course of the disorders; and
B. the client's family.
Subp. 7. Access to peer support.
The certificate holder must facilitate client access to peer support. The certificate holder must offer individual interventions to clients that include:
A. assisting the client to develop a support system that involves relationships with individual peer supports;
B. referral assistance, such as being referred, accompanied, or introduced to peer-led self-help groups by clinical staff, designated liaisons, or peer support group volunteers;
C. help to find peer support groups with accepting attitudes toward people with co-occurring disorders and the use of psychotropic medication;
D. routine facilitation intended to engage patients in mental health peer support groups, or groups specific to the client's mental health and substance use disorders;
E. strategies to help the client connect with peer recovery support groups;
F. documentation in treatment plans or progress notes that indicate the certificate holder regularly discusses with clients the possibility of linkage with peer support groups. The certificate holder must attempt to proactively plan for potential barriers or difficulties the client might experience in the peer support group environment;
G. identification of a liaison to assist the client transition to a peer support group, if the support is desired by the client; and
H. consultation with the peer support group on behalf of the individual regarding the specialized mental health needs of the individual.
Subp. 8. Recovery coaching.
The certificate holder must offer recovery coaching that includes nonclinical, peer-based activities to engage, educate, and support the client in making life changes necessary to recover from co-occurring disorders. This subpart is effective July 1, 2016.
Subp. 9. Psychopharmacological treatment.
The certificate holder must offer psychopharmacological treatment and adopt a protocol that states the prescribing provider must collaborate with the clinical team to:
A. address medication compliance;
B. reduce the client's use of potentially addictive medications; and
C. prescribe and manage medications used in the treatment of substance use disorders.
Subp. 10. Continuity of care.
The certificate holder must provide continuity of care through follow-up, with a focus on a long-term view of addiction recovery and mental health management. The certificate holder must:
A. have a formal protocol to coordinate mental health and substance use disorders needs after high-intensity services are completed;
B. include in the protocol requirements for client follow-up at six months and one year after completion of high-intensity services; and
C. document the specific actions taken in compliance with the protocol for each client.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0150 Orientation and Training
Subpart 1. Plan for orientation and training.
The certificate holder must develop a plan to ensure that staff receive orientation and training. The plan must include the following requirements:
A. a formal procedure to provide orientation to all staff at the time the person begins work that includes:
B. a formal procedure to evaluate the training needs of each staff person. The evaluation of training needs must occur when the staff person begins work and at least annually thereafter;
C. how the program determines when additional staff training is needed and when the additional training will be provided; and
D. a schedule of training opportunities for a 12-month period that is updated at least annually.
Subp. 2. Basic training for all staff.
The certificate holder must ensure that all staff who have contact with clients receive basic training in concepts of co-occurring disorders and co-occurring disorder treatment. The basic training must occur within the first six months of commencing work and at least every two years thereafter. The basic training must minimally include:
A. recovery principles;
B. understanding one's own attitudes;
C. common substances of abuse;
D. the prevalence of co-occurring disorders;
E. screening and assessment procedures used in the program;
F. assessment;
G. common signs and symptoms of co-occurring disorders;
H. triage and brief interventions;
I. topics related to psychiatric and substance use crisis intervention and stabilization of persons with co-occurring disorders; and
J. treatment decision making.
Subp. 3. Specialized training for treatment services staff.
The certificate holder must ensure that all staff who conduct individual or group sessions, or who provide clinical supervision or medication management:
A. receive specialized training at least every two years; and
B. have or obtain appropriate competencies and working knowledge of the specific integrated treatment provided by the staff member and specific to the staff member's position description.
Subp. 4. Specialized training components.
The specialized training required under subpart 3 must minimally include:
A. knowledge of specific therapies and treatment interventions for clients with co-occurring disorders;
B. integrated assessment and diagnosis; and
C. basic knowledge of pharmacological interventions for co-occurring disorders.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0160 Quality Assurance and Improvement
Subpart 1. System to collect data for commissioner.
The certificate holder must implement and maintain a quality assurance system to evaluate the effectiveness of services being delivered and to capture program results. The certificate holder must:
A. use procedures and outcome measurement methods approved by the commissioner; and
B. submit process and outcome data as requested by the commissioner.
Subp. 2. Quality improvement plan.
The certificate holder must adopt a quality improvement plan that requires the activities in items A to C. The quality improvement plan must include processes to perform these activities and to review the data or information obtained at least quarterly.
A. The certificate holder must measure client outcomes by:
B. The certificate holder must review significant incidents by:
C. The certificate holder must monitor compliance by:
Subp. 3. Quality improvement plan review.
An integrated treatment team leader must:
A. annually review, evaluate, and update the quality improvement plan;
B. document the actions the certificate holder will take as a result of information gained from implementing the plan;
C. establish goals for improved service delivery for the following year; and
D. evaluate and document the status of the previous year's goal.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0170 Privacy of Client Information
The certificate holder must comply with the Minnesota Government Data Practices Act, Minnesota health care provider requirements, and the Health Insurance Portability and Accountability Act (HIPAA). In addition, the certificate holder must also comply with Minnesota Statutes, section 144.294, subdivision 3, concerning release of mental health records, and the federal regulation governing Confidentiality of Alcohol and Drug Abuse Patient Records, Code of Federal Regulations, title 42, part 2. The certificate holder's use of electronic record keeping or electronic signatures does not alter the certificate holder's obligations to comply with applicable state and federal law and regulation.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Minn. R. 9533.0180 Standards for Proposed Additional Screening Tools
Subpart 1. Consideration by commissioner.
On a semiannual basis, the commissioner must consider for potential approval any additional screening tools proposed. The commissioner shall consider screening tools for approval based on the criteria in subparts 2 and 3.
Subp. 2. Required characteristics.
The screening tool must:
A. have a reading level compatible with the population being screened;
B. be easily administered and scored by a nonclinician;
C. be tested in the general population and at the national level;
D. have demonstrated adequate reliability and validity;
E. have a minimum documented statistical sensitivity of .70 and overall specificity of .70; and
F. predict a range of diagnosable mental health conditions, or the likelihood of substance use disorders.
Subp. 3. Preferred characteristics.
The commissioner must also evaluate the proposed tool according to whether it meets preferred characteristics. A tool receives a more favorable evaluation when it:
A. is concise, typically taking roughly ten minutes to complete or, for each rating scale, contains ten or fewer items;
B. has been widely used for adults and adolescents;
C. is available for use in a format that can be used either as part of an interview or through self-report;
D. is validated for more than one cultural background;
E. is validated for linguistic strength; or
F. is recognized by the federal Department of Health and Human Services, Substance Abuse and Mental Health Services Administration.
History
- Statutory Authority: MS s 245.4863
- History: 38 SR 523
Chapter 9535 PROGRAM GRANTS; PERSONS WHO ARE MENTALLY ILL
Minn. R. 9535.0100 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.0200 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.0300 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.0400 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.0500 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.0600 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.0700 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.0800 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.0900 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.1000 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.1100 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.1200 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.1300 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.1400 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.1500 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.1600 [Repealed, 17 SR 922]
[Repealed, 17 SR 922]
Minn. R. 9535.1700 Purpose
Parts 9535.1700 to 9535.1760 establish standards for the receipt and distribution of state grants to assist county boards in the delivery of children's community-based mental health services and to assist county boards in the delivery of adult community support and case management services.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1705 Definitions
Subpart 1. Scope.
Unless otherwise defined in this part, the terms used in parts 9535.1700 to 9535.1760 have the meanings given them in Minnesota Statutes, sections 245.462 and 245.4871. For the purposes of parts 9535.1700 to 9535.1760, the terms defined in subparts 2 to 4 have the meanings given them.
Subp. 2.
MR 2001 [Removed, L 2003 1Sp14 art 11 s 11]
Subp. 3. County funds.
"County funds" means funds available to a county through county levies, state block grants, federal block grants, family preservation grants under Minnesota Statutes, section 256F.05, and state revenues distributed in lieu of property taxes or other revenue sharing.
Subp. 4. Grant period.
"Grant period" means the time period in the grant application approved by the commissioner.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1710 Eligibility to Receive Grant
Only county boards that submit and obtain the commissioner's approval for the grant application as required under parts 9535.1700 to 9535.1760 are eligible to receive grants under parts 9535.1700 to 9535.1760.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922
Minn. R. 9535.1715 Grant Application
Subpart 1. Application for grants.
A county board or two or more county boards jointly applying for a grant under part 9535.1710 shall submit to the commissioner a grant application that includes budget information for the use of the grant funds. The grant application must be completed in the manner prescribed on forms provided by the commissioner. Beginning with calendar years 1994 and 1995, the grant application must be part of the county board's biennial community social services plan, except that any grant application for a special project under part 9535.1730 need not be included in the county board's biennial community social services plan.
Subp. 2. County board signature or copy of approving resolution.
As evidence of the county board's approval, the grant application submitted to the commissioner by the county board must be:
A. signed by the chair of the county board; or
B. accompanied by a copy of the county board resolution approving the submission. If two or more county boards jointly apply for a grant, the chair of each county board participating in the joint application shall either sign the grant application or submit a copy of the county board's resolution approving the submission.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922
Minn. R. 9535.1720 Funding Criteria
The commissioner shall distribute grants to county boards whose grant applications meet the criteria in items A to E.
A. The grant application must be consistent with the respective mental health component of the county's community social services plan that is approved by the commissioner.
B. For grants to provide children's community-based mental health services, the grant application must describe how the county board is collaborating or will collaborate in the development, funding, and delivery of children's community-based mental health services with other agencies in the local system of care.
C. The grant application must comply with parts 9535.1700 to 9535.1760 and with Minnesota Statutes, sections 245.461 to 245.4887.
D. In the grant application submitted to the commissioner according to part 9535.1715, the county board shall agree that:
E. The grant application must state that grant funds will only be used for:
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 1993 c 247 art 4 s 11; L 1994 c 625 art 8 s 72; L 1995 c 234 art 8 s 56; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1725 Distribution Formula
At or before the beginning of the grant period, the commissioner shall use the formulas in items A to F to distribute grants under parts 9535.1700 to 9535.1760 to county boards whose grant applications meet the requirements in parts 9535.1700 to 9535.1760.
A. Within the limits of appropriations, the commissioner shall allocate to each county board whose grant application is approved under part 9535.1720, the greater of the following:
B. The amount under item A, subitem (1), does not include special project funds under part 9535.1730 unless the commissioner determines a special project is more appropriately funded as part of the ongoing allocation under this part.
C. The commissioner shall increase the amounts in item A, subitems (2) and (3), to the extent funds are available, to enable more services to be provided as required by Minnesota Statutes, sections 245.461 to 245.4887.
D. If the appropriations under this part are decreased from the appropriations for the preceding year, then the per-county allocations in item A must be decreased in the same proportion as the decrease in the appropriation and must not be adjusted to reflect new data of the state demographer.
E. If the appropriations under this part remain the same as the appropriations in the preceding year, the per-county allocations in item A must be the same as those in the preceding year and must not be adjusted to reflect new data of the state demographer.
F. Two or more county boards that apply jointly for a grant shall receive a multicounty grant equal to the sum of the individual county board allocations in items A to E. Actual utilization of grants by each participating county board may be different from the individual county board allocation in items A to E if the county boards demonstrate to the commissioner that the differences are based on differing service needs of each county.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1730 Funding Special Projects
In addition to grants distributed under part 9535.1725, a county board may apply to the commissioner for grants for special projects designed to help children with severe emotional disturbance to function and remain with their families in the community and to help adults with serious and persistent mental illness to function and remain in the community.
Within the limits of appropriations available, the commissioner may award grants to county boards for special projects the commissioner believes will help children with severe emotional disturbance to function and remain with their families in the community and will help adults with serious and persistent mental illness to function and remain in the community.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1735 Budget Requirements
Subpart 1. Estimated budget required.
When applying for a grant, the county board shall submit to the commissioner a budget covering all children's community-based mental health services or all adult community support and case management services to be provided by the county board, its contracting service providers, and any subcontracting service providers.
Additionally, the county board's budget must show the total projected revenue from the following sources:
A. grant funds under parts 9535.1700 to 9535.1760;
B. county funds;
C. medical assistance;
D. general assistance medical care;
E. client fees;
F. private insurance and other third-party payors;
G. other public agencies, including schools, colleges, health departments, and corrections;
H. other sources; and
I. MinnesotaCare, under Minnesota Statutes, section 256.936.
Subp. 2. Submittal of contracting service provider budgets.
The county board shall submit to the commissioner the name, budgeted expenditures, budgeted revenues, and a list of services provided by the county board's contracting service providers or subcontracting service providers.
Subp. 3. Provider contracts and subcontracts.
All contracts for services between a county board and a service provider, and all contracts for services between a contracting service provider and a subcontracting service provider must be in accordance with parts 9535.1700 to 9535.1760.
Subp. 4. Joint applications.
When two or more county boards apply jointly for grants, they shall designate which county board will:
A. act as the host county to receive the grant; and
B. designate a contact person. County boards applying jointly shall agree by resolution on the assignment of responsibilities in parts 9535.1700 to 9535.1760.
Subp. 5. Matching funds required for grants for adult community support and case management services.
When applying for a grant for adult community support and case management services, the county board shall provide matching funds of at least ten percent of the budget estimated under subpart 1. For purposes of this subpart, "matching funds" means the revenue from the sources listed in subpart 1, items B to H.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 1993 c 247 art 4 s 11; L 1994 c 625 art 8 s 72; L 1995 c 234 art 8 s 56; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1740 Payment to County Board
Subpart 1. Fiscal reports.
The commissioner shall specify requirements for fiscal reporting under Minnesota Statutes, section 256.01, subdivision 2, clause (17).
Additionally, if the commissioner requests, the county board shall submit, by service provider, a year-end summary of the total expenditures and the total revenues by revenue sources listed in part 9535.1735, subpart 1.
Subp. 2. Grant payments.
The commissioner shall make quarterly grant payments under this part to a county board whose grant application is approved under parts 9535.1710 to 9535.1760. The commissioner shall make an initial advance in an amount sufficient to cover the time period from the beginning of the grant period to the next scheduled payment. The commissioner shall make subsequent quarterly grant payments on a reimbursement basis for actual expenditures reported by a county board to the commissioner. The commissioner shall adjust the quarterly grant payments for anticipated spending patterns and additional income according to subpart 3.
Total payments for a grant period must not exceed the lesser of the following, made according to a budget approved under parts 9535.1710 to 9535.1760:
A. the grant award;
B. 90 percent of actual expenditures under Minnesota Statutes, section 256.12; or
C. 100 percent of actual expenditures.
Subp. 3. Disposition of additional income.
If a county board, its contracting service providers, or subcontracting service providers receive revenue for the services specified in the grant application approved by the commissioner exceeding the amount of revenue estimated in the budget, the county board shall:
A. use the additional income to provide additional children's community-based mental health services, or adult community support and case management services within the grant period in which the additional income is received;
B. use the additional income in place of the county board funds committed to services in the county board's approved budget, if the county board's total mental health expenditure, after the reduction in county funds, complies with the maintenance of effort provisions in Minnesota Statutes, section 245.48; or
C. notify the commissioner on an annual basis of the amount of actual excess revenue and request the commissioner to authorize the transfer of some or all of these excess funds to the subsequent grant period. The commissioner shall authorize the transfer or adjust the subsequent payment by an amount equal to the excess revenue.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1745 Termination and Repayment of Funds
If the commissioner determines that state grants for services allocated to the county board are not being used as specified in a county board's approved grant application, the commissioner may terminate all or part of the grant funds and may require repayment according to Minnesota Statutes, section 245.483.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1750 Reallocation of Grant Funds
The commissioner may reallocate returned or unused grant funds to other eligible county boards as a supplemental allocation under parts 9535.1700 to 9535.1760, or for special projects under part 9535.1730. For purposes of this part, "unused grant funds" means:
A. grant funds not awarded to a county board; or
B. grant funds awarded to a county board but not used.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922
Minn. R. 9535.1755 Budget Amendments
A county board that finds it necessary to amend the budget approved by the commissioner shall follow the procedures for amending the adult mental health component of a county's community social services plan or the children's mental health component of a county's community social services plan. The commissioner shall give approval if a county board demonstrates a need to change the services funded based on an assessment of unmet needs of children with severe emotional disturbance and their families or adults with serious and persistent mental illness and if all the requirements of Minnesota Statutes, sections 245.461 to 245.4887, are met.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.1760 Records
Subpart 1. Maintenance of financial records.
The county board, its contracting service providers, and any subcontracting service providers shall maintain financial records using generally accepted accounting principles so that:
A. expenditures for services funded under parts 9535.1700 to 9535.1760 can be easily compared to the county board's approved budget for those services;
B. all sources of income can be readily identified; and
C. documentation is available for all expenditures. Budget records must include copies of all fiscal reports submitted to meet state or federal requirements.
Subp. 2. Maintenance of service records and required reporting.
The county board, its contracting service providers, and any subcontracting service providers shall maintain data specified by the commissioner on services funded under parts 9535.1700 to 9535.1760, so the commissioner can determine the effectiveness of the services in achieving the purpose specified under Minnesota Statutes, sections 245.461 to 245.4887.
The county board must submit periodic reports in the manner prescribed and on forms provided by the commissioner.
Subp. 3. Availability and access.
The county board, its contracting service providers, and any subcontracting service providers shall upon request make all budget, expenditure, and service records pertaining to the provision of services funded under parts 9535.1700 to 9535.1760 available to the commissioner for audit purposes.
The commissioner shall be given access without prior notice to the physical plant and grounds of contracting service providers and subcontracting service providers and to documents and information relevant to services funded under parts 9535.1700 to 9535.1760. The commissioner shall be given access whenever the commissioner deems necessary. The requirements of Minnesota Statutes, chapter 13, pertaining to government data practices must be followed.
Additionally, the county board, its contracting service providers, and any subcontracting service providers shall allow the commissioner to make photocopies, photographs, and audio and videotape recordings at the commissioner's expense and in accordance with Minnesota Statutes, chapter 13.
Subp. 4. Retention of records.
The county board, its contracting service providers, and any subcontracting service providers shall retain a copy of the records required under subpart 1 for three years plus the current year unless an audit requires a longer retention period. The records may be microfilmed at the end of the third year after the record was made. For purposes of this subpart, "copy of the records" means a photocopy or a computer-generated reproduction.
History
- Statutory Authority: MS s 245.484; 245.4886; 256E.12
- History: 17 SR 922; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.2000 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2100 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2200 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2300 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2400 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2500 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2600 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2700 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2800 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.2900 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.3000 [Repealed, L 2015 c 78 art 2 s 16]
[Repealed, L 2015 c 78 art 2 s 16]
Minn. R. 9535.4000 Applicability and Scope
Subpart 1. Applicability.
Parts 9535.4000 to 9535.4070 establish standards and procedures for the provision of family community support services to children with severe emotional disturbance and their families as authorized by Minnesota Statutes, sections 245.487 to 245.4889. Parts 9535.4000 to 9535.4070 are intended to comply with, and must be read in conjunction with, Minnesota Statutes, sections 245.461 to 245.4887 and chapter 256G. The county board of each county is responsible for administering, planning, monitoring, and evaluating family community support services under parts 9535.4000 to 9535.4070 as community social services.
Subp. 2. Family community support services to children and their families; scope.
Minnesota Statutes, section 245.487, subdivision 3, requires the commissioner to create and ensure a comprehensive and coordinated set of mental health and other necessary services for children. Minnesota Statutes, section 245.4873, requires coordination of the development and delivery of mental health services for children to occur on the state and local levels and, in subdivision 3, requires coordination of the local system of care for children. Family community support services, a component of the local system of care, are children's community-based mental health services that are to be provided by a county board, directly or under contract, to a child who resides in the county and the child's family as part of Minnesota's children's mental health service system. Family community support services are designed to provide within the community the kind of support that historically has more commonly been provided to children in residential treatment. Minnesota Statutes, section 245.4873, subdivision 4, requires the child's case manager designated by the local agency to develop the child's family community support plan in a manner that reflects coordination among the local service system providers serving the child.
Family community support services must be provided in a manner that is consistent with the core values set forth by the Child Adolescent Service System Program (CASSP) in "A System of Care for Severely Emotionally Disturbed Children and Youth" is incorporated by reference and published by CASSP Technical Assistance Center, Georgetown University Child Development Center, 3800 Reservoir Road, NW, Washington, D.C. 20007 (Washington, D.C., 1986). It is not subject to frequent change. A copy is available at the Legislative Reference Library, 6th Floor, 100 Rev. Dr. Martin Luther King Jr. Blvd., St. Paul, MN 55155. This publication and the values and system it endorses are referred to as "the CASSP System of Care."
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519; L 2003 1Sp14 art 11 s 11; L 2007 c 147 art 8 s 38
Minn. R. 9535.4010 Definitions
Subpart 1. Scope.
The terms used in parts 9535.4000 to 9535.4070 have the meanings given them in this part.
Subp. 2. Adult with serious and persistent mental illness.
"Adult with serious and persistent mental illness" means a person 18 years of age or older who has serious and persistent mental illness as defined in Minnesota Statutes, section 245.462, subdivision 20, paragraph (c).
Subp. 3. Case management services.
"Case management services," for a child, has the meaning given in Minnesota Statutes, section 245.4871, subdivision 3.
Subp. 4. Child.
"Child" means a person less than 18 years old who is eligible for mental health case management and family community support services under Minnesota Statutes, section 245.4871, subdivision 6.
Subp. 5. Child with severe emotional disturbance.
"Child with severe emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 6.
Subp. 6. Clinical supervision.
"Clinical supervision," for a child, has the meaning given in Minnesota Statutes, section 245.4871, subdivision 7.
Subp. 7. Commissioner.
"Commissioner" means the commissioner of human services or the commissioner's designated representative.
Subp. 8. County board.
"County board" means the county board of commissioners or board established under the Joint Powers Act in Minnesota Statutes, section 471.59, or the Human Services Board Act in Minnesota Statutes, sections 402.01 to 402.10.
Subp. 9. County of financial responsibility.
"County of financial responsibility" has the meaning given in Minnesota Statutes, section 256G.02, subdivision 4.
Subp. 10. Crisis assistance.
"Crisis assistance," for a child, has the meaning given in Minnesota Statutes, section 245.4871, subdivision 9a. For purposes of family community support services to a child, crisis placement and respite care are components of crisis assistance, as specified in Minnesota Statutes, section 245.4871, subdivision 17, clause (6).
Subp. 11. Day treatment.
"Day treatment," for a child, has the meaning given in Minnesota Statutes, section 245.4871, subdivision 10.
Subp. 12. Diagnostic assessment.
"Diagnostic assessment," for a child, has the meaning given in Minnesota Statutes, section 245.4871, subdivision 11.
Subp. 13. Emergency services.
"Emergency services," for a child, has the meaning given in Minnesota Statutes, section 245.4871, subdivision 14.
Subp. 14. Emotional disturbance.
"Emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 15.
Subp. 15. Family.
"Family" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 16.
Subp. 16. Family community support services.
"Family community support services" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 17. Family community support services are not acute care hospital inpatient treatment as defined in Minnesota Statutes, section 245.4871, subdivision 2; residential treatment as defined in Minnesota Statutes, section 245.4871, subdivision 32; or regional treatment center services as specified in Minnesota Statutes, section 245.490. Family community support services are:
A. client outreach to a child and the child's family as specified in part 9535.4038;
B. medication monitoring where necessary as specified in part 9535.4041;
C. assistance in developing independent living skills as specified in part 9535.4044;
D. assistance in developing parenting skills necessary to address the needs of the child as specified in part 9535.4047;
E. assistance with leisure and recreational activities as specified in part 9535.4050;
F. crisis assistance including crisis placement and respite care as specified in part 9535.4035;
G. professional home-based family treatment as specified in part 9535.4059;
H. foster care with therapeutic supports as specified in part 9535.4062;
I. day treatment as specified in part 9535.4056;
J. assistance in locating respite care and special needs day care as specified in part 9535.4052; and
K. assistance in obtaining potential financial resources, including those benefits specified in Minnesota Statutes, section 245.4884, subdivision 5, and specified in part 9535.4053.
Subp. 17. Foster care with therapeutic support or therapeutic support of foster care.
"Foster care with therapeutic support" or "therapeutic support of foster care" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 34.
Subp. 18. Functional assessment.
"Functional assessment," for a child, means an assessment by the case manager of the child's:
A. mental health symptoms as presented in the child's diagnostic assessment;
B. mental health needs as presented in the child's diagnostic assessment;
C. use of drugs and alcohol;
D. vocational and educational functioning;
E. social functioning, including the use of leisure time;
F. interpersonal functioning, including relationships with the child's family;
G. self-care and independent living capacity appropriate to the child's chronological age;
H. medical and dental health;
I. financial assistance needs;
J. housing and transportation needs; and
K. other needs and problems.
Subp. 19. Individual family community support plan.
"Individual family community support plan" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 19.
Subp. 20. Individual treatment plan.
"Individual treatment plan" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 21.
Subp. 21. Legal representative.
"Legal representative" means a person specified in Minnesota Statutes, section 245.4871, subdivision 22.
Subp. 22. Local agency.
"Local agency" means the county agency under the authority of the county board that is responsible for arranging and providing mental health services required under Minnesota Statutes, sections 245.487 to 245.4889, as a component of community social services.
Subp. 23. Mental health professional.
"Mental health professional" means a person who has the qualifications as defined in Minnesota Statutes, section 245.4871, subdivision 27.
Subp. 24.
[Repealed, 29 SR 1367]
Subp. 25. Parent.
"Parent" means the birth or adoptive mother or father of a child. This definition does not apply to a person whose parental rights in relation to the child have been terminated by a court.
Subp. 26. Professional home-based family treatment.
"Professional home-based family treatment" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 31.
Subp. 27. Service provider.
"Service provider" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 33.
Subp. 28. Special mental health consultant.
"Special mental health consultant" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 33a.
History
- Statutory Authority: MS s 14.388; 245.484
- History: 18 SR 1519; L 2003 1Sp14 art 11 s 11; 29 SR 1367; L 2007 c 147 art 8 s 38
Minn. R. 9535.4020 General Provisions
Subpart 1. Design of family community support services.
The design for providing the components of family community support services must be based on the unique and changing needs of the children eligible for the service who reside in the county and on the availability of community sources of services for the children and their families. A county board shall design family community support services to reduce the need for and use of more intensive, more costly, or restrictive placements of children both in number of admissions of children and the length of their stays in residential treatment facilities or regional treatment centers and to meet the requirements of Minnesota Statutes, sections 245.4874, 245.4876, 245.4881, and 245.4884, and parts 9535.4000 to 9535.4070. The county board must provide family community support services.
Subp. 2. Joint county provision of services.
A county or two or more counties jointly may provide one or more of the components of family community support services directly or through a contract with another agency.
Subp. 3. Denial of services.
A county board must assure that family community support services are not denied to children with severe emotional disturbance.
Subp. 4. Notice of eligibility for family community support services.
The county board shall send a written notice about a child's eligibility for family community support services as required under Minnesota Statutes, section 245.4881, subdivision 2, paragraph (b).
Subp. 5. Availability of special mental health consultant.
The county board must assure that a special mental health consultant is available as necessary to assist the county board in assessing and providing appropriate family community support and other mental health services for a child of a minority race or minority ethnic heritage.
Subp. 6. Procedures to assure coordination.
The county board must establish procedures to assure ongoing contact and coordination between a child's case manager, the providers of the child's family community support services, the child's other mental health services, and the educational and social services related to the child's mental health needs. In the case of a child receiving case management services under parts 9520.0900 to 9520.0926, the case manager is responsible for ongoing coordination with any other person responsible for the planning, development, and delivery of mental health services for the child.
Subp. 7. Referral of child for case management services.
The provider of family community support services to a child who is not receiving case management services must inform the child and the child's parent or legal representative as required under part 9535.4023 of the availability and potential benefits to the child of case management services according to Minnesota Statutes, section 245.4876, subdivision 4.
Subp. 8. Refusal of case management services.
The refusal of case management services by a child or the parent or legal representative of a child who is determined eligible for case management services does not affect the child's eligibility to receive family community support services or other mental health services for which the child is eligible. If a child or a child's parent or legal representative has refused case management services for the child under parts 9520.0900 to 9520.0926, the providers of the child's family community support services shall coordinate the child's service delivery in the manner established by the county board to assure continuity of the child's services and avoid duplication of services.
Subp. 9. Clinical supervision of family community support services.
The county board must assure, either directly or under contract, the clinical supervision of family community support services as specified in Minnesota Statutes, section 245.4871, subdivisions 7, 17, and 27.
Subp. 10. Services needed and required plan.
A child's need for family community support services must be based on the mental health needs identified from a functional assessment and a diagnostic assessment of the child and on the child's strengths. A plan for the delivery of each family community support service identified as a mental health need must be developed for the child. The child's parent or legal representative and, unless clinically inappropriate, the child must be involved in all phases of the development and implementation of the plan. The plan shall identify the goals and outcomes of the services and how the outcomes are to be measured. Additionally, the plan shall be developed as specified in item A or B.
A. If the child is receiving case management services under parts 9520.0900 to 9520.0926, the child's individual family community support plan may serve as the required plan if it complies with part 9520.0918 and was developed with the participation of family community support services staff.
B. If the child does not have a case manager because the child or the parent or legal representative of the child has refused case management services under parts 9520.0900 to 9520.0926, the family community support service provider or providers of the child's services shall follow the procedures established under subpart 6 to coordinate and incorporate the child's family community support and other mental health services into a single planning document. The single planning document also must incorporate the child's individual treatment plans, if any. Any other service plan developed by an agency providing services to the child may substitute for the single planning document required under this part if the other plan meets the requirements of this part.
Subp. 11. Review and revision of plan required under subpart 10.
Family community support services staff, together with the child, unless clinically inappropriate, and the child's parent or legal representative must review and, if necessary, revise the goals and the child's progress toward the outcomes specified in the plan required for the child under subpart 10. The review and, if necessary, revision of the child's plan must be done at least once every 180 days after the development of the initial plan under subpart 10 or more often if necessary to reflect changes in the child's goals, strengths, and needs and in community resources while the child and the child's family are receiving family community support services. The review and any necessary revision must be based on an assessment of the child's functioning in the area of the family community support services the child is receiving.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519; L 2003 1Sp14 art 11 s 11
Minn. R. 9535.4023 Persons to Receive Information and Plan Services
Subpart 1. Persons to receive information and plan the child's services.
Except as specified in subparts 3 and 4, when family community support services are requested for a child or the child is referred for family community support services, the child's parent or legal representative, if any, has the right to:
A. receive the notices and information specified in parts 9535.4000 to 9535.4070;
B. make decisions about family community support services for the child; and
C. be included in planning the family community support services available to the child under parts 9535.4000 to 9535.4070.
Subp. 2. Child's receipt of information and inclusion in planning services.
A child who is at least 12 years of age has the right to receive and a child who is less than 12 years of age may receive the notices and information specified under parts 9535.4000 to 9535.4068 and be included in planning family community support services available to the child under parts 9535.4000 to 9535.4068 unless these actions are determined by a mental health professional to be clinically inappropriate for the child's mental health needs. If the mental health professional determines that receiving information and participating are clinically inappropriate for the child's mental health needs, the reasons for the determination must be documented in the child's case record.
Subp. 3. Circumstances when person other than parent has the right to consent and authorize family community support services.
Consent and authorization for family community support services must be obtained from the child's parent unless otherwise obtained in accordance with Minnesota Statutes, section 245.4876, subdivision 5.
Subp. 4. Petition filed or court order issued.
If a petition has been filed under Minnesota Statutes, chapter 260, or a court order has been issued under Minnesota Statutes, section 260C.148 or 260C.151, and a guardian ad litem appointed, and if consent for family community support services has not been otherwise obtained from the child's parent or legal representative or the child, the local agency may request a court order under Minnesota Statutes, chapter 260, to authorize family community support services for the child.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519; L 1999 c 139 art 4 s 2
Minn. R. 9535.4025 Determination of Child's Eligibility for Services
Subpart 1. Determining eligibility.
To be eligible for family community support services, a child must have the characteristics defined and described in Minnesota Statutes, section 245.4871, subdivisions 6 and 15.
Subp. 2. Request or referral for family community support services.
When a child or the parent or legal representative of a child requests an assessment or consents, as described in part 9535.4023, to the child's being assessed to determine eligibility for family community support services, the family community support service provider must obtain an authorization to release information as required under Minnesota Statutes, section 245.4876, subdivision 5. Consent or authorization must be obtained from the child's parent, except when a condition in Minnesota Statutes, section 245.4876, subdivision 5, paragraph (b), clauses (1) and (2), applies. The family community support service provider must determine whether the child meets a criterion of eligibility for the family community support services as defined in Minnesota Statutes, section 245.4871, subdivision 6. If the child has had a diagnostic assessment or an updated diagnostic assessment as specified in Minnesota Statutes, section 245.4876, subdivision 2, the family community support provider must, upon obtaining the authorization required in this subpart, obtain a copy or, at least, confirm by telephone or letter the date of the assessment, and the findings and recommendations made in the diagnostic assessment about the family community support services needed by the child. If a child has not had a diagnostic assessment within 180 days before a request for family community support services for the child, the local agency must offer to assist the child and the child's family in obtaining one.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4028 Termination of Family Community Support Services
Family community support services to a child with severe emotional disturbance shall terminate when one of the events listed in items A to D occurs.
A. A mental health professional who has provided mental health services to the child furnishes a written opinion that the child no longer meets the eligibility criteria in Minnesota Statutes, section 245.4871, subdivision 6. Upon receipt of the mental health professional's written opinion that the child no longer meets the eligibility criteria, the family community support service provider must inform, as described in part 9535.4023, the child and the child's parent or legal representative of the ability to appeal the decision.
B. The child or the child's parent or legal representative as described in part 9535.4023, together with the child's family community support service provider and the child's case manager, if any, mutually decide that the child no longer needs the family community support service identified in the child's individual family community support plan because the child has achieved the goals and outcomes specified in the plan.
C. The child or the child's parent or legal representative as described in part 9535.4023 refuses further family community support services.
D. The child becomes age 18.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4030 Outcomes of Family Community Support Services
The persons assigned by or under contract with the local agency to provide family community support services to a child shall use a process designed to assist the child with severe emotional disturbance to pursue the outcomes of the child's improved or maintained functioning and mental health and the child's remaining with the child's family in the community. To assist the child to meet these outcomes, family community support services must be provided in a manner consistent with the mission of the Minnesota comprehensive children's mental health act as specified in Minnesota Statutes, section 245.487, subdivision 3, and the outcomes of case management services as specified in part 9520.0904. Additionally, a child's family community support services must be designed to:
A. assist the child and the child's family to achieve the outcomes identified in the plan required for the child under part 9535.4020, subpart 10, and the service priorities agreed to by the child, the child's parent, and the service provider. The plan must be consistent with the outcomes of family community support services as specified in Minnesota Statutes, section 245.4884, subdivision 1. These outcomes are to improve the ability of the child to:
B. assist the child to make a smooth transition among mental health, vocational rehabilitation, and education services;
C. ensure that the state and local agencies providing transition services to the child work together so the child has the opportunity to access vocational rehabilitation and educational services that will assist the child to live and function independently within the community;
D. at least six months before the 18th birthday of a child who is not receiving case management services under parts 9520.0900 to 9520.0926, assist the child and, as appropriate, the child's parent or legal representative in assessing the child's need to receive case management services to adults with serious and persistent mental illness, community support services, and other mental health services;
E. improve overall family functioning if clinically appropriate to the child's needs;
F. assist the child to live in families or settings that offer a safe, permanent relationship with nurturing parents or caretakers; and
G. for the child whose best interest is to reside away from the child's own home, ensure the continuation of family community support services appropriate to the child's mental health needs in a setting as similar to and as geographically near the child's family and community as feasible.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4035 Crisis Assistance Services
Subpart 1. Crisis assistance services, including crisis placement and crisis respite care.
Crisis assistance services for a child, including crisis placement and crisis respite care, must be coordinated with, but must not duplicate, emergency services as defined in Minnesota Statutes, section 245.4871, subdivision 14. The crisis assistance services must meet the requirements of Minnesota Statutes, section 245.4871, subdivision 9a.
Subp. 2. Crisis assistance placement.
When the child is in crisis and needs care outside of the child's home and the child or the child's parent or legal representative as described in part 9535.4023 requests crisis assistance, the provider of crisis assistance services shall help the child and the child's parent or legal representative to locate and access a crisis setting appropriate to the child's needs.
Subp. 3. Crisis respite care services.
Crisis respite care services shall be designed to provide temporary or periodic care and supervision of a child for the purpose of providing relief to the child's caregiver. The crisis respite care service may be provided in the child's home or in a setting other than the child's home.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4038 Client Outreach Services
The county board shall provide client outreach services designed to locate children within the community who may have a severe emotional disturbance, inform them and their families of available children's community-based mental health services, including family community support and case management services, and assure that they have access to those services by assisting the family to arrange for transportation, if necessary. Client outreach services must:
A. be conducted throughout the calendar year;
B. occur at the site requested by the child and the child's parent or legal representative;
C. be provided in a manner which promotes the involvement of the child and the child's family;
D. occur face-to-face whenever possible;
E. be provided in a manner which is sensitive to cultural differences and special needs; and
F. provide the child and the child's parent or legal representative, in writing, the information specified in part 9535.4070. Outreach services to providers in the local system of care and to families must include the development and distribution of information on the availability of family community support services and case management services and how to access these services.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4041 Medication Monitoring Services
When a child is taking psychotropic medication prescribed by a physician, medication monitoring services must be designed to assist the child, the child's parent or legal representative, and, with the written consent of the child or the child's parent or legal representative, other persons who provide direct care to the child. The services must assist the child, parent or representative, or direct caregiver to:
A. obtain information about the psychotropic medication that has been prescribed for the child;
B. watch for physical or behavioral changes in the child which may be caused by the child's use of, misuse of, or failure to take the prescribed psychotropic medication; and
C. obtain access to and assistance from the child's source of medical care.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4044 Assistance in Developing Independent Living Skills
Independent living skills services including transition services to a child must be designed to assist the child to develop the skills needed to remain and participate with others in the child's family, child care setting, school, place of employment, if any, community, and in recreational or social activities. Services must address skills that are appropriate for the child's age.
Assistance in developing independent living skills may include a variety of methods or strategies appropriate to the child's developmental age that help children with severe emotional disturbance carry out the tasks of daily living, develop a positive regard for self, problem solve, learn skills to advocate on their own behalf, and make transitions to community resources in order to secure, maintain, and support employment and make educational choices.
Services may be provided in individual or group settings as specified in the individual family community support plan or other plan required in part 9535.4020, subpart 10.
If a child who is at least 14 years of age receives independent living skills services or transition services from more than one provider, or as part of the child's individualized education program, the family community support providers must attempt to coordinate the child's services with the other providers and with the child's school in order to avoid duplicating services, assure the child's access to needed services, and make transitions between education and employment.
For purposes of this part, "transition services" means a set of activities to promote movement from school to postschool activities, including postsecondary education when applicable, vocational training, integrated employment, including supported employment, continuing and adult education, and independent living skills. Independent living skills are based on individual needs, taking into account a child's preferences and interests, and must include instruction, community experience, and the development of employment and other postschool adult living objectives.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519; L 2011 1Sp11 art 3 s 12
Minn. R. 9535.4047 Assistance in Developing Parenting Skills Necessary to Address the Needs of the Child
Assistance in developing parenting skills identified as needed or requested by a child's parent must be designed to address the individual, unique needs of the child and the child's parent. In assisting parents to develop parenting skills, the provider may use written information, direct assistance, support services, or other means as requested and accepted by the child's parents or the child as specified in part 9535.4023. The information must include but is not limited to information about parenting techniques and interventions that address specific behaviors or issues directly related to, or the result of, the child's severe emotional disturbance. Services commonly available in a county to provide information about parenting techniques may be used to meet the requirements of this part if the service is modified or augmented in a manner that addresses the individual, unique needs of the child and the child's parent.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4050 Assistance with Leisure and Recreational Activities
Assistance with leisure and recreational activities provided as a family community support service to a child must be designed to:
A. assist the child with severe emotional disturbance and the child's parent or legal representative in locating, accessing, and participating in leisure and recreational services for the child;
B. assist the child to gain the physical, mental, and social skills necessary to participate in age-appropriate activities;
C. promote the use of community recreation programs and community education programs or activities that are identified on the child's individual family community support plan or other plan prepared according to part 9535.4020, subpart 10; and
D. address specific therapeutic objectives.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4052 Assistance in Locating Respite Care and Special Needs Day Care
Assistance in locating respite care and special needs day care for a child must be provided to a child's parent or legal representative who requests respite care or special needs day care if these services are identified in the child's plan required by part 9535.4020, subpart 10. The assistance may include recruiting respite care providers and training them in the special needs of children with severe emotional disturbance.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4053 Assistance in Obtaining Potential Financial Resources
Assistance in obtaining potential financial resources for a child or the parent or legal representative of a child for whom the county is financially responsible and who may be eligible for benefits shall be designed to:
A. inform and offer to help the child, parent, or legal representative to apply for and obtain Supplemental Security Income, medical assistance, Medicare, SNAP, the Minnesota family investment program, and other federal benefits if appropriate;
B. if requested, assist the child or the child's parent or legal representative to apply for programs and benefits under item A;
C. if the child or the child's parent or legal representative is not eligible for the benefits in item A, inform the child or the child's parent or legal representative and offer to assist in applying for MinnesotaCare, general assistance, general assistance medical care, health services funded under section 134 of the Tax Equity and Fiscal Responsibility Act of 1982 (TEFRA), Public Law 97-248, or other benefits for which the child may be eligible. For purposes of this item and item B, "assist" means accompanying the child and the child's parent or legal representative to the agency through which application is made, to obtain and help the child or the child's parent or legal representative complete forms required to apply for the benefits, and to contact agencies that determine eligibility for benefits about the possible eligibility of the child or the child's parent or legal representative. Assist does not mean the provider will complete the application for the child or the child's parent or legal representative;
D. offer, and, if requested, assist the child or the child's parent or legal representative in determining the process and completing the materials related to appealing a denial, suspension, reduction, or termination of benefits.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519; L 2003 1Sp14 art 1 s 106; L 2006 c 212 art 1 s 25; L 2019 1Sp9 art 1 s 42
Minn. R. 9535.4056 Day Treatment Services
Unless a county board has requested a waiver from including day treatment services as a component of family community support services under Minnesota Statutes, section 245.4884, subdivision 2, paragraph (b), and the commissioner has approved the request, a county board shall make day treatment services available as specified in Minnesota Statutes, section 245.4884, subdivision 2, paragraph (a). Even with an approved waiver, however, a county must make day treatment services available to a child with severe emotional disturbance who is eligible for day treatment under medical assistance. When a medical assistance-eligible child receives day treatment services, the county board must require the services provider to maintain records of the child's day treatment services as required under Minnesota Statutes, section 256B.0943, for mental health services. These records are to be maintained in addition to those required by part 9535.4069.
History
- Statutory Authority: MS s 245.484; 256B.04
- History: 18 SR 1519; 35 SR 1967
Minn. R. 9535.4059 Professional Home-Based Family Treatment
Professional home-based family treatment services must be available to a child who is at risk of out-of-home placement, who is in out-of-home placement due to the child's emotional disturbance, or who is returning to the home from out-of-home placement. The services must be an appropriate alternative to residential treatment and must provide intensive, time-limited intervention to help the child and the child's family learn the skills necessary to keep the child within the home and community. The professional home-based family treatment services must be provided as specified in Minnesota Statutes, section 245.4884, subdivision 3. Additionally, if the child receiving the professional home-based mental health services is eligible for medical assistance, the services must comply with the requirements of part 9505.0324.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4062 Foster Care with Therapeutic Supports
Foster care with therapeutic supports or therapeutic support foster care must be designed to provide a child a therapeutic family environment and to provide support to foster families caring for children with severe emotional disturbance. The foster care with therapeutic supports must incorporate the child's treatment process into the family environment. Additionally, the foster care with therapeutic supports must provide the foster family with training about severe emotional disturbances in children and the effects of the disturbances on the childrens' behaviors.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4065 Release of Information About a Child
The release of a record or information about a child receiving family community support services under parts 9535.4000 to 9535.4070 to another person or entity must comply with Minnesota Statutes, section 245.4876, subdivision 5.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4068 Orientation and Training
Subpart 1. Orientation.
The local agency must ensure that each person who is employed for pay or under contract to provide family community support services takes part in:
A. orientation before the person begins to provide family community support services. The orientation shall include:
B. further training in the areas specified in subitems (1) and (2), no later than 30 calendar days after the person begins to provide family community support services unless the person can document having skills and knowledge about subitems (1) and (2). The training shall address:
Subp. 2. Continuing training.
The local agency must ensure that a person who is employed for pay or under contract to provide family community support services receives at least 20 hours of continuing training in a two-year period. Training topics shall be chosen from the items specified in subpart 1 and:
A. the provisions of the Minnesota Comprehensive Children's Mental Health Act in Minnesota Statutes, sections 245.487 to 245.4889;
B. the core values and principles of the Child Adolescent Service System Program (CASSP);
C. how to coordinate services between the public education system and the mental health system;
D. procedures for providing crisis assistance services according to Minnesota Statutes, section 245.4871, subdivision 9a;
E. information about eligibility for the programs specified in part 9535.4053;
F. skills needed to be supportive of a parent of a child with severe emotional disturbance;
G. how to provide services effectively to a child of a minority race or minority ethnic heritage; and
H. how to provide services for children with developmental disabilities or other special needs. Completion of required training must be documented in the training participant's personnel record.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519; L 2007 c 147 art 8 s 38
Minn. R. 9535.4069 Provider's Records of Services to a Child
A family community support services provider employed by or under contract to a county must maintain a record for each child receiving family community support services from the provider. The record must contain a copy of the individual family community support plan, if any, and the plan required for the child under part 9535.4020, subpart 10, the names of the child's parents or legal representative, evidence of the child's eligibility for family community support services, names of medications, if any, prescribed for the child, and name and telephone number of the prescribing physician.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Minn. R. 9535.4070 Appeal Rights
A child or the parent or legal representative of a child who applies for and receives family community support services has the right to receive the information specified in Minnesota Statutes, section 245.4887, and to appeal according to Minnesota Statutes, section 256.045.
History
- Statutory Authority: MS s 245.484
- History: 18 SR 1519
Chapter 9540 PROGRAM GRANTS; DEVELOPMENTAL DISABILITIES
Minn. R. 9540.0100 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.0200 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.0300 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.0400 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.0500 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.1000 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.1100 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.1200 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.1300 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.1400 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.1500 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.2000 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.2100 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.2200 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.2300 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.2400 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.2500 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.2600 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Minn. R. 9540.2700 [Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
[Repealed, L 1995 c 233 art 3 s 4; L 1995 c 248 art 3 s 4]
Chapter 9543 LICENSURE OF PROGRAMS
Minn. R. 9543.0010 Purpose and Applicability
Subpart 1. Purpose.
The purpose of parts 9543.0010 to 9543.0150, is to promote uniform enforcement of rules governing licensure of family day care, adult foster care, family adult day services, and child foster care programs and to establish minimum standards for performing licensing functions related to those rules.
Subp. 2. Full applicability to county agencies.
Parts 9543.0040 to 9543.0130 apply in their entirety to county agencies.
Subp. 3. Limited applicability to private agencies.
Parts 9543.0040 to 9543.0070, 9543.0090 to 9543.0110, and 9543.0130 apply to private agencies authorized by the commissioner to perform licensing functions related to child foster care.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16
- History: 15 SR 2105; 30 SR 585
Minn. R. 9543.0020 Definitions
Subpart 1. Scope.
As used in parts 9543.0010 to 9543.0150, the following terms have the meanings given them.
Subp. 2. Abuse.
"Abuse" has the meaning given it in Minnesota Statutes, section 626.557, subdivision 2, paragraph (d).
Subp. 3. Agency.
"Agency" means a county agency as defined in subpart 9 or a private agency as defined in subpart 17.
Subp. 4. Applicant.
"Applicant" means an applicant as defined in Minnesota Statutes, section 245A.02, subdivision 3, who has completed and signed a license application form. Applicant includes a current license holder who is seeking relicensure.
Subp. 5. Authorized.
"Authorized" means that a private agency is in compliance with parts 9543.0040 to 9543.0070, 9543.0090 to 9543.0110, and 9543.0130 and has been licensed by the commissioner to perform the child foster care program licensing functions under part 9543.0030, subpart 2.
Subp. 6. Certification.
"Certification" means the commissioner's written notice to a county agency performing licensing functions delegated under part 9543.0030, subpart 1, that the county agency is in compliance with the requirements in parts 9543.0040 to 9543.0130.
Subp. 7. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designated representative.
Subp. 8. Complaint.
"Complaint" means a report of an alleged license violation made to the agency about a program.
Subp. 9. County agency.
"County agency" has the meaning given it in Minnesota Statutes, section 245A.02, subdivision 6.
Subp. 10. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 10a. Family adult day services.
"Family adult day services" means the services defined in Minnesota Statutes, section 245A.143, subdivision 1.
Subp. 11. Imminent danger.
"Imminent danger" means a child or vulnerable adult is threatened with immediate and present abuse or neglect that is life-threatening or likely to result in abandonment, sexual abuse, or serious physical injury.
Subp. 12. License.
"License" has the meaning given it in Minnesota Statutes, section 245A.02, subdivision 8.
Subp. 13. License holder.
"License holder" has the meaning given it in Minnesota Statutes, section 245A.02, subdivision 9.
Subp. 14. Maltreatment.
"Maltreatment" has the meaning given it in Minnesota Statutes, section 260E.03, subdivision 12.
Subp. 15. Negative licensing action.
"Negative licensing action" means denial of a license application, issuance of a fine, or suspension, revocation, or temporary immediate suspension of an existing license.
Subp. 16. Neglect.
"Neglect" has the meaning given it in Minnesota Statutes, sections 260E.03, subdivision 15, and 626.557, subdivision 2, paragraph (e).
Subp. 17. Private agency.
"Private agency" has the meaning given it in Minnesota Statutes, section 245A.02, subdivision 12.
Subp. 18. Program.
"Program" means family day care, child foster care, adult foster care or family adult day services programs.
Subp. 19. Prospective applicant.
"Prospective applicant" means a person who expresses interest to an agency in applying for a license to provide a program but who has not submitted a signed application form to the agency.
Subp. 20. Variance.
"Variance" means written permission from the commissioner for a license holder to depart for a specified time from a standard specified in rule.
Subp. 21. Violation.
"Violation" means failure to comply with applicable laws or rules governing a program.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16
- History: 15 SR 2105; 30 SR 585; L 2015 c 71 art 1 s 126
Minn. R. 9543.0030 Licensing Functions
Subpart 1. Delegation to county agencies.
County agencies are delegated responsibility to perform the following functions related to licensure of programs:
A. accept and process license applications;
B. conduct inspections, studies, and evaluations of programs;
C. recommend approval or denial of applications for licensure;
D. process variance requests;
E. monitor compliance with applicable licensing rules;
F. investigate allegations of license violations;
G. investigate unlicensed programs;
H. issue correction orders;
I. recommend forfeiture orders and negative licensing actions;
J. enforce orders of the commissioner; and
K. represent the commissioner in contested case proceedings conducted under Minnesota Statutes, chapter 14.
Subp. 2. Delegation to private agencies.
Private agencies must be authorized by the commissioner to perform the following functions related to the licensure of child foster care programs:
A. accept and process license applications;
B. conduct inspections, studies, and evaluations of programs;
C. recommend approval or denial of applications for licensure;
D. process variance requests;
E. monitor compliance with child foster care licensing rules;
F. investigate allegations of license violations;
G. issue correction orders;
H. recommend forfeiture orders and negative licensing actions;
I. enforce orders of the commissioner; and
J. assist and cooperate with the commissioner and attorney general in contested case proceedings.
History
- Statutory Authority: MS s 245A.09; 245A.16
- History: 15 SR 2105
Minn. R. 9543.0040 License Application Procedures
Subpart 1. Licensure information.
The agency shall provide information on license application procedures to prospective applicants according to items A to D.
A. The agency shall provide in writing to all prospective applicants, the information in subitems (1) to (3):
B. The agency shall provide the license application form prescribed by the commissioner to every prospective applicant who requests an application.
C. An agency that requires prospective applicants to attend an informational meeting before receiving a license application form must ensure that meetings take place at least every two months on either a group or individual basis.
D. Upon receiving a completed and signed license application form, the agency shall provide the applicant a copy of the program rules.
Subp. 2. Licensing study.
The agency shall perform a licensing study of the applicant that includes:
A. a background study performed according to subpart 3;
B. a written record of a home study that includes:
C. three letters of reference;
D. where the agency has knowledge the applicant was previously licensed, a reference from that previous agency;
E. reports from the fire marshal, building officials, and health officials that are required by rules governing the program;
F. for foster care licensing applicants, the information in part 9543.0060, subpart 4; and
G. any other reports or evaluations necessary to fully evaluate the applicant's qualifications for licensure and compliance with applicable laws and rules.
Subp. 3.
[Repealed, L 2004 c 288 art 1 s 83]
Subp. 4. Completed application.
An application is completed when all studies, reports, and evaluations in subparts 2 and 3 have been completed and received by the agency.
Subp. 5. Licensing recommendation.
The agency shall forward its licensure recommendation to the commissioner within 20 working days after an application is completed. The agency shall make its recommendation according to items A to C:
A. The agency shall recommend that the commissioner issue a license when the agency determines that the applicant fully complies with laws and rules governing the program and is qualified for licensure.
B. The agency may recommend that the commissioner issue a license and grant a variance according to part 9543.0050.
C. The agency shall recommend that the commissioner deny a license application if the agency determines the applicant fails to fully comply with laws or rules governing the program and variance requirements. The agency shall submit evidence to support its recommendation. Evidence may include:
Subp. 6. License renewal.
Before the expiration date of a license, the agency shall:
A. at least 30 days before the license expiration date, provide an application form and notice of the license expiration date to the license holder;
B. conduct a licensing renewal study that includes information under subpart 2, items A, B, E, and F; and
C. make a licensing recommendation to the commissioner.
Subp. 7. License extension.
Before the expiration date of a program that is being investigated or a program that is appealing an order of revocation or suspension, the agency shall request the commissioner to extend the license pending disposition of the investigation or appeal.
Subp. 8. Tracking licensing progress.
The agency shall track the progress of each application for licensure on a form approved by the commissioner including:
A. the dates and documentation of all events described in subparts 2 to 7;
B. the status of the license application 120 calendar days after receipt of a signed application form;
C. the date and circumstances when a license application is withdrawn or a license is returned or not renewed by the license holder;
D. the date the license is issued or denied; and
E. if a license is issued, the date the license is effective and the expiration date of the license.
History
- Statutory Authority: MS s 245A.09; 245A.16
- History: 15 SR 2105; L 2001 1Sp9 art 14 s 35
Minn. R. 9543.0050 Variance Requests
Subpart 1. Variance information.
A variance request must include the following information:
A. the part or parts of the rule for which a variance is sought;
B. the reasons why a variance from the specified provisions is sought;
C. the period of time for which a variance is requested;
D. written approval from the fire marshal, building inspector, or health authority when the variance request is for a variance from a fire, building, or health code; and
E. alternative equivalent measures the applicant or license holder will take to ensure the health and safety of persons served by the program if the variance is granted.
Subp. 2. Variance procedures.
Except as provided in subpart 3, a request for a variance must be submitted in writing by the applicant or license holder.
For variances excluded from the delegation authority under Minnesota Statutes, section 245A.16, subdivision 1, the agency shall forward to the commissioner within ten working days of receipt of the request the information in subpart 1 and the agency's recommendation to approve or deny the request.
The commissioner shall send a written decision to grant or deny the variance request to the applicant or license holder and to the agency.
Subp. 3. Foster care capacity variance at request of agency.
The agency may orally request from the commissioner a variance from child foster care capacity limits on behalf of a license holder. If the commissioner grants the variance, the agency shall submit to the commissioner the information in subpart 1 within five working days after the variance is granted.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16
- History: 15 SR 2105; 30 SR 585
Minn. R. 9543.0060 Licensing Foster Care Programs
Subpart 1. Additional foster care licensing requirements.
Agencies that perform foster care licensing functions shall comply with the requirements in subparts 2 to 6, in addition to other applicable requirements.
Subp. 2. Program information.
The agency shall provide prospective applicants with information about foster care to enable the prospective applicant to decide whether to apply for licensure. The information must include:
A. the types of individuals the agency places in foster care;
B. the responsibilities of foster care license holders and of the agency; and
C. the agency's policies governing foster care.
Subp. 3. Orientation and preplacement training.
The agency shall provide applicants the orientation and preplacement training required in rules governing the program.
Subp. 4. Foster care licensing study.
In addition to the licensing study under part 9543.0040, subpart 2, the licensing study of an applicant for foster care must include:
A. in-person interviews with all family members and other adults living in the household;
B. social history information; and
C. an evaluation of whether the individual meets the specific qualifications required in Minnesota Rules governing child foster care or adult foster care. A written report of the foster care licensing study must be kept in the applicant's record.
Subp. 5. Duties of agency.
The agency shall:
A. enter into a foster parent agreement with the license holder for child foster care;
B. coordinate with placement workers to ensure that the license holder is visited by a placement worker or the licensor at least monthly for the first six months after the first placement in child foster care;
C. provide the license holder a copy of the annual relicensing evaluation report;
D. establish a grievance mechanism for resolving differences between the agency and the license holder and provide the license holder with a written description of grievance procedures;
E. ensure that the foster care provider has a means of contacting the agency 24 hours per day, seven days per week; and
F. ensure that training is available to enable license holders to meet the training requirements in rules governing foster care programs.
Subp. 6. Notice of closure.
When a foster care program is closed, the agency shall notify the commissioner on forms prescribed by the commissioner.
History
- Statutory Authority: MS s 245A.09; 245A.16
- History: 15 SR 2105
Minn. R. 9543.0070 Investigations of Licensed Programs
Subpart 1. Reports of abuse or neglect of persons served by licensed programs.
If an agency receives a complaint alleging abuse or neglect of persons served by a program, the agency shall follow the procedures in items A to C.
A. The agency shall immediately report the complaint to the county child or adult protection unit where the program is located.
B. The agency shall cooperate with the county child or adult protection unit as requested in conducting the investigation required under Minnesota Statutes, chapter 260E, or section 626.557.
C. Upon completion of the investigation, the agency shall take the appropriate licensing action indicated by the findings of the investigation.
Subp. 2. Timelines.
Except for reports of abuse, neglect, or maltreatment, the agency shall investigate all complaints of licensing violations received about programs for which it performs licensing functions. The agency shall investigate the complaints according to items A to C:
A. A complaint that alleges imminent danger or recurring physical injury to persons served by the program must be:
B. Investigation of a complaint that does not indicate imminent danger to persons served by the program but that may result in a negative licensing action under part 9543.0100 must begin within three working days after the agency receives the complaint.
C. Investigation of a complaint that does not involve an issue of safety under item A or B for persons served by the program must begin within ten working days after the agency receives the complaint.
Subp. 3. Determination.
The agency shall gather sufficient information about every complaint to:
A. make a determination that a licensing violation occurred, did not occur, or no determination can be made; and
B. if a violation occurred, issue a correction order or recommend a negative licensing action.
Subp. 4. Reports of death.
The agency shall ensure that the death of a person served by a program is reported to the medical examiner or coroner and ombudsman as required in Minnesota Statutes, sections 260E.11, subdivision 3, and 626.557, subdivision 9a.
Subp. 5. Recording complaints and investigations.
The agency shall:
A. maintain a register for recording complaints about licensed programs and tracking the status of each investigation;
B. record in the license holder's file the disposition of each complaint involving the license holder; and
C. maintain the records according to Minnesota Statutes, section 13.46.
History
- Statutory Authority: MS s 14.386; 14.388; 14.3895; 245A.09; 245A.16
- History: 15 SR 2105; 30 SR 585; 50 SR 5
Minn. R. 9543.0080 County Investigation of Unlicensed Programs
Subpart 1. Unlicensed family day care and adult foster care.
When a county agency learns that a family day care or adult foster care program required to be licensed is operating without a license, the county shall, within five working days, notify the operator in writing that a license is required or the program must discontinue operation.
A. If the operator discontinues the unlicensed operation, no further action is required.
B. If an operator who is eligible for licensure fails to sign an application form within 30 calendar days after notice that a license is required or fails to cooperate in the licensing study, the county agency shall:
C. Nothing in items A and B prevents a county agency from immediately asking the county attorney to seek a court order against the continued operation of an unlicensed program.
Subp. 2. Unlicensed child foster care.
The agency shall report to the county child protection unit when it learns of a child in an unlicensed foster care program that is required to be licensed.
History
- Statutory Authority: MS s 245A.09; 245A.16
- History: 15 SR 2105
Minn. R. 9543.0090 Correction Orders and Conditional License
Subpart 1. Correction order, training.
An agency shall not issue correction orders unless licensors have been trained by the department on procedures for issuing correction orders. A correction order must be on forms prescribed by the commissioner. A copy of the correction order must be kept in the license holder's file.
Subp. 2. Criteria for issuing correction orders.
A correction order may be issued if all of the following conditions are met:
A. the violation does not imminently endanger the health, safety, or rights of persons served by the program;
B. the violation is not listed in part 9543.0100, subpart 3;
C. the violation is not serious or chronic; and
D. the violation will be corrected within a reasonable time.
Subp. 3. Time limitation.
A correction order must include a specific time period for correcting the violation.
Subp. 4. Compliance with correction order.
The agency shall ensure that license holders provide evidence of compliance with a correction order or, if appropriate, recommend further action to the commissioner.
Subp. 5. Conditional license.
The agency may recommend a conditional license if:
A. on the basis of factors in part 9543.0100, subpart 1, the agency demonstrates that revocation or suspension of the license is not warranted;
B. the agency demonstrates that continued operation of the program:
C. the agency submits to the commissioner a plan for monitoring the program to ensure the safety of persons served during the conditional license.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16
- History: 15 SR 2105; 30 SR 585
Minn. R. 9543.0100 Negative Licensing Actions
Subpart 1. Basis for recommendation.
When recommending a negative licensing action, the agency shall:
A. submit to the commissioner the following information:
B. notify the county attorney of the recommendation.
Subp. 2. Temporary immediate suspension of license.
If the license holder's actions or failure to comply with applicable law or rule poses an imminent risk of harm to the health, safety, or rights of persons served by a program, the agency must take actions described in items A to C:
A. The agency shall notify the commissioner immediately.
B. If the commissioner orders a temporary immediate suspension, the agency shall arrange for delivery, by personal service, of written notice of temporary immediate suspension to the license holder. The notice shall state:
C. The agency shall make a recommendation for further action to the commissioner.
Subp. 3. Revocation or denial of license.
Violations that are grounds for recommending license revocation or denial include, but are not limited to:
A. immediate suspension of a license under subpart 2;
B. a disqualifying crime or conduct listed in Minnesota Statutes, section 245C.15, that has not been set aside under Minnesota Statutes, section 245C.22, or for which a variance has not been granted under Minnesota Statutes, section 245C.30, or in rules governing the program;
C. a false statement knowingly made by the license holder, on the license application;
D. failure or refusal to provide the commissioner access to the physical plant and grounds, documents, persons served, and staff;
E. recurring failure to comply with discipline standards in rules governing the program;
F. severe or recurring failure to comply with capacity limits; or
G. licensing violations that occur while the license is probationary or suspended.
Subp. 4. License suspension.
The agency may recommend license suspension rather than revocation under subpart 3 if the agency submits information demonstrating:
A. on the basis of factors in subpart 1, revocation is not warranted; and
B. suspension rather than revocation:
Subp. 5.
[Repealed, 30 SR 585]
Subp. 6. Notification of licensee of negative licensing action.
The agency shall give written notice to a license holder when the agency recommends a negative licensing action to the commissioner.
Subp. 7. Notice to parents of negative licensing action.
The agency shall give written notice of a negative licensing action to the parents or guardians of children in the programs as follows:
A. When the agency recommends a negative licensing action to the commissioner, the agency shall immediately inform parents and guardians that a negative licensing action has been recommended and that they will be informed of the commissioner's action on the recommendation.
B. When the commissioner orders a negative licensing action, the agency shall immediately inform parents and guardians:
C. If the commissioner does not order a negative licensing action following the agency recommendation, the agency shall inform parents and guardians when the agency receives the commissioner's decision.
Subp. 8. Notice of negative licensing action to county.
If a negative licensing action has been ordered against a child foster care program that is supervised by a private agency, the private agency shall notify in writing the county agency in which the program is located and any county that has placements in the home.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16; 256.01; 256E.05; 257.175; 393.07
- History: 15 SR 2105; 17 SR 3412; L 2001 1Sp9 art 14 s 35; 30 SR 585
Minn. R. 9543.0110 Enforcing Orders of Commissioner
Subpart 1. Agency enforcement of commissioner orders.
The agency shall enforce and defend all orders of the commissioner, including immediate suspension, suspension, and revocation.
Subp. 2. Sanctioned programs.
If the agency has knowledge that a program whose license has been immediately suspended, revoked, or suspended continues to operate, the agency shall immediately report the operation to the county attorney and the commissioner.
Subp. 3. Programs on conditional status.
The agency shall monitor a program whose license is on conditional status for compliance with the plan developed under part 9543.0090, subpart 5. If the program fails to comply with the terms of its conditional license, the agency shall immediately report the noncompliance to the commissioner.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16
- History: 15 SR 2105; 30 SR 585
Minn. R. 9543.0120 Contested Case Proceedings; Informal Dispositions
Subpart 1. Contested case proceedings.
The county agency shall represent the commissioner in contested case appeals of negative licensing actions involving license holders supervised by the county agency. The county agency shall:
A. arrange for legal consultation and representation by the county attorney;
B. prepare all documents necessary for the contested case proceeding;
C. within 30 days after receipt of the appeal packet from the department, arrange with the Office of Administrative Hearings for the services of an administrative law judge and a timely date and location for the hearing;
D. serve the notice of and order for hearing as provided in part 1400.5600; and
E. send a copy of the notice of and order for hearing to the commissioner.
Subp. 2. Appeals involving private agencies.
The attorney general represents the commissioner in contested case appeals of licensing actions involving license holders licensed based on the recommendation of a private agency.
Subp. 3. Informal dispositions, stipulated agreements.
In making an informal disposition of a contested case, the county agency shall follow the procedures in items A to D:
A. The county agency shall obtain preliminary approval from the commissioner to discuss an informal disposition of the contested case.
B. Before entering into any settlement agreement with an applicant or license holder appealing an order of the commissioner, the county agency shall discuss the terms of the proposed agreement with the commissioner.
C. If the commissioner approves of the proposed terms, the county agency shall:
D. If the commissioner or parties are unable to reach a settlement, the county agency shall schedule a contested case hearing.
History
- Statutory Authority: MS s 245A.09; 245A.16
- History: 15 SR 2105
Minn. R. 9543.0130 Administrative Requirements
Subpart 1. Maintaining records.
The agency must maintain a record file of each applicant and license holder that includes:
A. all records required by the rules governing the program;
B. a record of all investigations and dispositions of all investigations according to Minnesota Statutes, section 13.46;
C. dates and reports of all licensing studies; and
D. a list of all persons currently being served by the foster care license holder.
Subp. 2. Commissioner access.
The agency shall provide the commissioner access to and, if requested, copies of all records and documents in an applicant or license holder's file.
Subp. 3. Training requirements.
The agency shall require that licensors receive six hours of training each calendar year.
Training must be relevant to licensing functions or to licensed programs.
The agency must keep a record of completed training in each licensor's personnel file.
Subp. 4. Conflict of interest.
The agency shall ensure that no agency employee or board member who applies for licensure or who is licensed to operate a program based on the agency's recommendation is involved in any licensing recommendation or action related to that employee or board member.
History
- Statutory Authority: MS s 245A.09; 245A.16
- History: 15 SR 2105
Minn. R. 9543.0140 County Certification
Subpart 1. County agency certification.
The commissioner shall determine whether a county agency is in compliance with parts 9543.0040 to 9543.0130 at least once every four years. When the county agency is in compliance with parts 9543.0040 to 9543.0130, the commissioner shall certify the county agency for four years.
Subp. 2. Notification of noncompliance.
The commissioner shall notify the county agency when the county agency has failed to comply with parts 9543.0040 to 9543.0130. The notice must include:
A. the deficiencies in the county agency's licensing procedures;
B. the corrective action necessary to correct the deficiencies; and
C. the time frame for correction of the deficiencies.
Subp. 3. County compliance.
Within 30 calendar days after receiving a notice of noncompliance, the county shall:
A. demonstrate compliance with parts 9543.0040 to 9543.0130; or
B. submit to the commissioner for approval a corrective action plan.
Subp. 4. Review of corrective action plan.
The commissioner shall review and approve or disapprove the corrective action plan within 30 calendar days after receiving the plan.
Subp. 5. Provisional certification.
If the county agency does not fully comply with parts 9543.0040 to 9543.0130, but the failure to comply does not constitute a risk to persons served by licensed programs, the commissioner may issue a provisional certification of the county agency upon approval of the corrective action plan submitted under subpart 3, item B.
Subp. 6. County agency decertification based on demonstrated risk of harm to program participants.
When the commissioner determines that a county agency's failure to comply with parts 9543.0040 to 9543.0130 demonstrates a risk of harm to persons served by licensed programs, the commissioner shall immediately revoke certification of the county agency and initiate sanctions as provided in subpart 7.
Subp. 7. Funding sanction.
If the county agency is decertified, the commissioner shall certify a funding reduction according to Minnesota Statutes, section 245A.16, subdivision 6.
Subp. 8. Expiration of certification.
A certification issued to a county agency expires at 12:01 a.m. on the day after the expiration date stated on the certification.
Subp. 9. Contracting licensing functions.
A county agency must receive prior approval from the commissioner before contracting with an authorized private agency or another county agency to perform licensing functions delegated under part 9543.0030, subpart 1, and remains subject to the certification provisions in part 9543.0140. This subpart does not apply to purchase of service contracts which have as their primary purpose to provide foster care services for individual clients.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16
- History: 15 SR 2105; 30 SR 585
Minn. R. 9543.0150 Private Agency Authorization
Subpart 1. Private agency authorization.
The commissioner shall determine private agencies' compliance with parts 9543.0040 to 9543.0070, 9543.0090 to 9543.0110, and 9543.0130. When a private agency is in compliance with parts 9543.0040 to 9543.0070, 9543.0090 to 9543.0110, and 9543.0130, the commissioner shall authorize the private agency to perform licensing functions delegated under part 9543.0030, subpart 2, for a period up to four years. The authorization shall specify the effective and expiration dates of the authorization.
Subp. 2. Revocation of private agency's authorization.
When the commissioner determines that a private agency's failure to comply with parts 9543.0040 to 9543.0070, 9543.0090 to 9543.0110, and 9543.0130 demonstrates a risk of harm to persons served by licensed programs, the commissioner shall revoke the private agency's authorization to perform licensing functions under part 9543.0030, subpart 2. Revocation of a private agency's authorization is grounds for negative licensing action against a license issued under parts 9545.0755 to 9545.0845. Revocation of authorization or a negative licensing action may be appealed according to Minnesota Statutes, sections 245A.07 and 245A.08.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16
- History: 15 SR 2105; 18 SR 1593; 30 SR 585
Minn. R. 9543.1000 [Repealed, L 2004 c 288 art 1 s 83]
[Repealed, L 2004 c 288 art 1 s 83]
Minn. R. 9543.1010 [Repealed, L 2004 c 288 art 1 s 83]
[Repealed, L 2004 c 288 art 1 s 83]
Minn. R. 9543.1020 [Repealed, L 2004 c 288 art 1 s 83]
[Repealed, L 2004 c 288 art 1 s 83]
Minn. R. 9543.1030 [Repealed, L 2004 c 288 art 1 s 83]
[Repealed, L 2004 c 288 art 1 s 83]
Minn. R. 9543.1040 [Repealed, L 2004 c 288 art 1 s 83]
[Repealed, L 2004 c 288 art 1 s 83]
Minn. R. 9543.1050 [Repealed, L 2004 c 288 art 1 s 83]
[Repealed, L 2004 c 288 art 1 s 83]
Minn. R. 9543.1060 [Repealed, L 2004 c 288 art 1 s 83]
[Repealed, L 2004 c 288 art 1 s 83]
Minn. R. 9543.3000 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Minn. R. 9543.3010 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Minn. R. 9543.3020 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Minn. R. 9543.3030 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Minn. R. 9543.3040 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Minn. R. 9543.3050 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Minn. R. 9543.3060 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Minn. R. 9543.3070 [Repealed, L 1997 c 248 s 51 subd 2]
[Repealed, L 1997 c 248 s 51 subd 2]
Minn. R. 9543.3080 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Minn. R. 9543.3090 [Repealed, L 2001 1Sp9 art 14 s 36]
[Repealed, L 2001 1Sp9 art 14 s 36]
Chapter 9544 POSITIVE SUPPORT STRATEGIES AND RESTRICTIVE INTERVENTIONS
Minn. R. 9544.0005 Purpose
Chapter 9544 establishes methods, procedures, and standards to be used by providers governed by this chapter for the use of positive support strategies with persons receiving services. The purpose of these rules is to improve the quality of life of persons receiving home and community-based services or other licensed services by:
A. promoting community participation, person-centeredness, and an approach that focuses on supporting persons receiving services in the most integrated setting;
B. focusing on creating quality environments and lifestyles as primary responsibilities of license holders;
C. ensuring collaborative, team-based development of positive support strategies;
D. providing training to the person who receives services to improve the person's skills and facilitate the person's ability to meet self-identified goals;
E. increasing the person's self-determination abilities so the person may engage in community activity to the greatest degree reasonably attainable;
F. developing specific support programs that promote outcomes valued by the person, the person's family, and the community to help the person receiving services improve the person's quality of life;
G. ensuring people are free from humiliating and demeaning procedures;
H. eliminating all uses of aversive or deprivation procedures;
I. creating a consistent set of standards for license holders to respond to behavior when serving people across licensed services and settings; and
J. building staff knowledge and competence throughout a license holder's organization about the development and implementation of positive behavioral supports, person-centered planning, and community integration.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0010 Applicability
Subpart 1. Applicability to providers licensed under Minnesota Statutes, chapter 245D.
This chapter applies to providers of home and community-based services to persons with a disability or persons age 65 and older governed by Minnesota Statutes, chapter 245D.
Subp. 2. Applicability to other licensed services and settings.
This chapter applies to other licensed providers and in other settings licensed by the commissioner under Minnesota Statutes, chapter 245A, for services to persons with a developmental disability or related condition.
Subp. 3. Related law.
This chapter must be read in conjunction with chapter 9525 and Minnesota Statutes, chapters 245, 245A, 245D, 252, 252A, and 256. License holders are subject to the requirements of this chapter and to all other applicable state and federal regulations governing the provision of services provided by the license holder.
Subp. 4. Standards governing the use of restrictive interventions.
Parts 9544.0060 and 9544.0070 shall supersede any standards in other state rules that govern the use of restrictive interventions.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0020 Definitions
Subpart 1. Scope.
Except as provided in subpart 43, terms used in parts 9544.0005 to 9544.0140 have the meanings given in this part.
Subp. 2. Aversive procedure.
"Aversive procedure" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 2b.
Subp. 3. Behavior intervention report form.
"Behavior intervention report form" means the form prescribed by the commissioner to collect data in accordance with the requirements in Minnesota Statutes, section 245.8251, subdivision 2.
Subp. 4. Case manager.
"Case manager" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 3.
Subp. 5. Chemical restraint.
"Chemical restraint" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 3b.
Subp. 6. Child with severe emotional disturbance.
"Child with severe emotional disturbance" has the meaning given in Minnesota Statutes, section 245.4871, subdivision 6.
Subp. 7. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services.
Subp. 8. Crisis respite services.
"Crisis respite services" means in-home or out-of-home short-term care and intervention strategies provided to a person to address the person's medical or behavioral needs so as to support the person's caregiver and protect the person or others living with that person.
Subp. 9. Cultural competence.
"Cultural competence" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 4e.
Subp. 10. Deprivation procedure.
"Deprivation procedure" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 5a.
Subp. 11. Developmental disability or related condition.
"Developmental disability or related condition" has the meaning given in part 9525.0016, subpart 2, items A to E.
Subp. 12. Direct support staff.
"Direct support staff" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 6a.
Subp. 13. Domains of a meaningful life.
"Domains of a meaningful life" means community membership; health, wellness, and safety; own place to live; important long-term relationships; control over supports; and employment earnings and stable income.
Subp. 14. Emergency use of manual restraint.
"Emergency use of manual restraint" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 8a.
Subp. 15. Expanded support team.
"Expanded support team" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 8b.
Subp. 16. External program review committee.
"External program review committee" means a committee appointed by the commissioner to fulfill the functions described in Minnesota Statutes, section 245.8251, subdivisions 3 and 4.
Subp. 17. External qualified professional.
"External qualified professional" means a qualified professional who is not under the direction and control of the license holder and is not an employee of or a subcontractor used by the license holder to perform services subject to the requirements of this chapter.
Subp. 18. Family foster care.
"Family foster care" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 8c.
Subp. 19. Faradic shock.
"Faradic shock" means of or pertaining to a discontinuous, asymmetric, alternating or direct current from the second winding of an induction coil.
Subp. 20. Forms and instructions.
"Forms and instructions" means the forms and instructions referenced in Minnesota Statutes, section 245D.06, subdivision 8, paragraph (a).
Subp. 21. Functional behavior assessment.
"Functional behavior assessment" means an assessment that operationally defines the target behaviors, identifies the situations in which the target behaviors are likely to occur and not occur, and generates a hypothesis of why the behaviors occur. A functional behavior assessment must be conducted by a qualified professional and must consist of direct observation and one or more of the following elements:
A. an assessment of biological factors, such as a medical assessment or a dental assessment;
B. an assessment of psychological factors, such as a diagnostic assessment or a suicidality assessment;
C. an assessment of environmental factors, such as direct observation or interviewing a significant individual in the person's life; and
D. an assessment of quality of life indicators based on the person's goals and needs within each domain of a meaningful life.
Subp. 22. Home and community-based services.
"Home and community-based services" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 10.
Subp. 23. Interfering behavior.
"Interfering behavior" means a behavior or psychiatric symptom that prevents a person from engaging in a more integrated setting or from participation in the most integrated setting.
Subp. 24. Legal representative.
"Legal representative" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 12.
Subp. 25. Level program.
"Level program" means a type of program consisting of a hierarchy of levels contingent on meeting specific performance criteria with respect to behavior.
Subp. 26. License.
"License" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 8.
Subp. 27. License holder.
"License holder" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 15.
Subp. 28. Manual restraint.
"Manual restraint" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 15a.
Subp. 29. Mechanical restraint.
"Mechanical restraint" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 15b. Mechanical restraint includes use of an auxiliary device to ensure a person does not unfasten a seat belt in a vehicle. Mechanical restraint does not include:
A. use of a seat belt as required under Minnesota Statutes, section 169.686; or
B. use of a child passenger restraint system as required under Minnesota Statutes, section 245A.18, subdivision 1.
Subp. 30. Medication.
"Medication" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 16.
Subp. 31. Mental health mobile crisis intervention services.
"Mental health mobile crisis intervention services" has the meaning given in Minnesota Statutes, section 256B.0624, subdivision 2, paragraph (d).
Subp. 32. Mental illness.
For an adult, "mental illness" has the meaning given in Minnesota Statutes, section 245.462, subdivision 20.
Subp. 33. Most integrated setting.
"Most integrated setting" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 20a.
Subp. 34. Normal goods and services.
"Normal goods and services" means a person's normal access to a nutritious diet, drinking water, adequate ventilation, necessary medical care, ordinary hygiene facilities, normal sleeping conditions, or necessary clothing, in accordance with Minnesota Statutes, section 245D.06, subdivision 6, paragraph (b), clause (4), or to any protection required by state licensing standards and federal regulations governing the program.
Subp. 35. Outcome.
"Outcome" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 21a.
Subp. 36. Pain.
"Pain" means physical pain, mental pain, or emotional distress.
Subp. 37. Person.
"Person" means a person as defined under Minnesota Statutes, section 245D.02, subdivision 22, receiving home and community-based services, a person age 65 or older receiving home and community-based services, or a person with a developmental disability or related condition receiving services licensed under Minnesota Statutes, chapter 245A.
Subp. 38. Person-centered planning.
"Person-centered planning" means a strategy used to facilitate team-based plans for improving a person's quality of life as defined by the person, the person's family, and other members of the community, and that focuses on the person's preferences, talents, dreams, and goals. It is part of a family of approaches to organizing and guiding community change in alliance with people with disabilities and their families and friends.
Subp. 39. Person with a disability.
"Person with a disability" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 23.
Subp. 40. Physician.
"Physician" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 23a.
Subp. 41. Positive support strategy.
"Positive support strategy" means a strengths-based strategy based on an individualized assessment that emphasizes teaching a person productive and self-determined skills or alternative strategies and behaviors without the use of restrictive interventions.
Subp. 42. Positive support transition plan.
"Positive support transition plan" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 23b.
Subp. 43. Program.
"Program" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 26. This subpart applies to parts 9544.0020, subparts 16, 34, and 47; 9544.0060, subpart 2, item U; 9544.0090, subpart 5; 9544.0110; 9544.0120; and 9544.0130.
Subp. 44. Prone restraint.
"Prone restraint" has the meaning given in Minnesota Statutes, section 245D.061, subdivision 3, paragraph (a), clause (7).
Subp. 45. Psychotropic medication.
"Psychotropic medication" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 27.
Subp. 46. Punishment.
"Punishment" means a Type I or Type II action as described in items A and B.
A. Type I action means the contingent application of an aversive stimulus. "Aversive stimulus" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 2c.
B. Type II action means the contingent removal of a positive reinforcer. "Positive reinforcer" means a consequence or stimulus that is presented following a behavior and that causes the behavior to increase.
Subp. 47. Qualified professional.
"Qualified professional" is defined separately for each type of service and license. Qualified professional means a professional described in items A to C; or a professional described in items D to J who has at least two years of work experience in writing or implementing positive support plans or treatment plans and has demonstrated in an assessment approved by the commissioner that the professional is competent to develop and implement positive support transition plans. For purposes of this subpart, treatment plan means a written document prepared by a licensed health professional that includes a description of the precise treatment goals and the measures or services identified to accomplish them. The following occupations are qualified professionals for the specified services and settings:
A. for residential facilities for adults with mental illness governed under parts 9520.0500 to 9520.0670, a licensed mental health professional as identified in Minnesota Statutes, section 245.462, subdivision 18;
B. for residential mental health treatment for children with severe emotional disturbance governed under parts 2960.0010 to 2960.0120 and parts 2960.0580 to 2960.0700, a licensed mental health professional as identified in Minnesota Statutes, section 245.462, subdivision 18, clauses (1) to (6);
C. for sexual psychopathic personality and sexually dangerous person treatment programs governed under parts 9515.3000 to 9515.3110, a licensed mental health professional as defined in Minnesota Statutes, section 245.462, subdivision 18, or a licensed psychologist as defined in Minnesota Statutes, section 148.907;
D. for home and community-based services governed under Minnesota Statutes, chapter 245D, a designated coordinator as identified in Minnesota Statutes, section 245D.081, subdivision 2, paragraph (b); a behavior professional as identified in Minnesota Statutes, section 245D.091, subdivision 2; or a behavior analyst as identified in Minnesota Statutes, section 245D.091, subdivision 3;
E. for chemical dependency treatment programs governed under Minnesota Statutes, chapter 245G, a licensed alcohol and drug counselor as defined in Minnesota Statutes, section 245G.11, subdivision 5;
F. for detoxification programs governed under parts 9530.6510 to 9530.6590, a chemical dependency assessor as defined in part 9530.6510, subpart 3a;
G. for chemical dependency treatment programs for children governed under parts 2960.0010 to 2960.0120 and parts 2960.0430 to 2960.0500, an alcohol and drug counselor supervisor as identified in part 2960.0460, subpart 4; or an alcohol and drug counselor as identified in part 2960.0460, subpart 5;
H. for children's residential facilities governed under parts 2960.0010 to 2960.0120, including children's residential care, shelter care services, group residential settings, and transitional services programs, a program director as identified in part 2960.0020, subpart 57;
I. for child care centers governed under chapter 9503, a teacher as defined in part 9503.0032; a staff person who meets the qualification requirements in item A or D; or a person's case manager as required in Minnesota Statutes, section 256B.092, subdivision 1a, paragraph (e);
J. for foster family settings governed under parts 2960.3000 to 2960.3100, qualified staff from the county or private child placing agency; and
K. for the following settings and services, a person who meets the qualification requirements in item A or D; or a person's case manager as required in Minnesota Statutes, section 256B.092, subdivision 1a, paragraph (e):
Subp. 48. Quality of life indicator.
"Quality of life indicator" means a reportable or observable outcome that is measurable and important to the person. Quality of life indicators are used to assess beneficial changes desired by the person that enrich the person's life experiences.
Subp. 49. Restraint.
"Restraint" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 28.
Subp. 50. Restrictive intervention.
"Restrictive intervention" means prohibited procedures identified in Minnesota Statutes, section 245D.06, subdivision 5; prohibited procedures identified in part 9544.0060; and the emergency use of manual restraint.
Subp. 51. Seclusion.
"Seclusion" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 29.
Subp. 52. Self-injurious behavior.
"Self-injurious behavior" means behavior of a person which results in damage to the person's own body.
Subp. 53. Service.
"Service" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 30.
Subp. 54. Target behavior.
"Target behavior" means an observable behavior identified in a person's individual plan as the object of efforts intended to reduce or eliminate the behavior.
Subp. 55. Token reinforcement program.
"Token reinforcement program" means a program that requires a person to earn an outcome that is of value to the person. Tokens are earned in recognition of desired behavior. Tokens are traded in exchange for activities, events, goods, or services that may not otherwise be available to the person.
Subp. 56. Treatment.
"Treatment" has the meaning given in Minnesota Statutes, section 245D.02, subdivision 35a.
Subp. 57. Variance.
"Variance" means written approval by the commissioner for a license holder or applicant to depart from the requirements of parts 9544.0005 to 9544.0140.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0030 Positive Support Strategies and Person-Centered Planning
Subpart 1. Positive support strategies required.
The license holder must use positive support strategies in providing services to a person. These positive support strategies must be incorporated in writing to an existing treatment, service, or other individual plan required of the license holder. At least every six months, the license holder must evaluate with the person whether the identified positive support strategies currently meet the standards in subpart 2. Based upon the results of the evaluation, the license holder must determine whether changes are needed in the positive support strategies used, and, if so, make appropriate changes.
Subp. 2. Positive support strategy standards.
To develop and implement positive support strategies, the license holder must:
A. assess the person's strengths, needs, and preferences to identify and create a positive support strategy;
B. select positive support strategies that:
C. use person-centered planning in accordance with Minnesota Statutes, section 245D.07, subdivision 1a, paragraph (b), clause (1);
D. promote the person's self-determination in accordance with Minnesota Statutes, section 245D.07, subdivision 1a, paragraph (b), clause (2);
E. provide the most integrated setting and inclusive service delivery for the person in accordance with Minnesota Statutes, section 245D.07, subdivision 1a, paragraph (b), clause (3);
F. create a desirable quality of life for the person through inclusive, supportive, and therapeutic environments; and
G. use person-centered planning regarding the most integrated setting. The person-centered planning must:
Subp. 3. Person-centered principles.
The license holder must incorporate principles of person-centeredness in services it provides to a person. At least every six months, the license holder must evaluate with the person whether the services support the person's individual preferences, daily needs and activities, and the accomplishment of the person's goals in accordance with Minnesota Statutes, section 245D.07, subdivision 1a, paragraph (b), and whether the person-centered planning process complies with Code of Federal Regulations, title 42, section 441.725, paragraph (a)(1)-(4). Based upon the results of the evaluation, the license holder must determine whether changes are needed to enhance person-centeredness for the person, and, if so, make appropriate changes.
Subp. 4. Professional standards for positive support strategies.
The license holder must use professional standards for positive support strategies that are fully consistent with this chapter. Examples of professional standards that a license holder may use as a resource to develop positive support strategies are stated in items A to F. When relying on one of the following professional standards, the license holder must use the most recently updated version of those standards:
A. the Association for Positive Behavior Support Standards of Practice;
B. the United States Department of Health and Human Services, Substance Abuse and Mental Health Services Administration (SAMHSA) National Registry of Evidence-Based Programs and Practices;
C. SAMHSA Roadmap to Seclusion and Restraint Free Mental Health Services;
D. the Behavior Analyst Certification Board Guidelines for Responsible Conduct for Behavior Analysts;
E. the NADD Competency-Based Clinical Certification Program Competency Standard 1: Positive Behavior Support and Effective Environments; or
F. other standards approved by the commissioner that:
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0040 Functional Behavior Assessment
Subpart 1. Who must conduct.
The license holder's qualified professional or an external qualified professional must conduct the functional behavior assessment. The license holder must verify and document that the qualified professional or external qualified professional conducting the assessment meets the applicable qualification requirements in part 9544.0020, subpart 17 or 47.
Subp. 2. When required.
A functional behavior assessment is required when a qualified professional or external qualified professional develops or modifies a written intervention to change a target behavior.
Subp. 3. Required elements.
To perform a functional behavior assessment, the qualified professional or external qualified professional must directly observe the person. The professional must evaluate whether the following elements make the target behavior more or less likely to occur:
A. biological factors, identified through a medical assessment or a dental assessment;
B. psychological factors, identified through a diagnostic or suicidality assessment;
C. environmental factors, identified through direct observation or interviewing a significant individual in the person's life; and
D. quality of life indicators based on the person's goals and needs within the domains of a meaningful life. The professional must use the evaluation to generate a hypothesis about why the behavior occurs.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0050 Permitted Procedures
Subpart 1. Specific procedures permitted.
In addition to the procedures identified in Minnesota Statutes, section 245D.06, subdivision 7, that are permitted for use by license holders, the following procedures are permitted as approved by the expanded support team and, in the case of a child, the child's parent or parents:
A. positive verbal correction that is specifically focused on the behavior being addressed; and
B. temporary withholding or removal of objects being used to hurt self or others.
Subp. 2. Documentation required.
The license holder must document in writing a procedure approved under subpart 1 to an existing treatment, service, or other individual plan required of the license holder.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0060 Prohibitions and Restrictions
Subpart 1. General prohibitions.
The procedures identified in Minnesota Statutes, section 245D.06, subdivision 5, are prohibited and are governed by the requirements of that section and this chapter.
Subp. 2. Specific prohibitions.
The actions or procedures listed in items A to Y are prohibited from use as a substitute for adequate staffing, for a behavioral or therapeutic program to reduce or eliminate behavior, as punishment, or for staff convenience:
A. using prone restraint, metal handcuffs, or leg hobbles;
B. using faradic shock;
C. speaking to a person in a manner that ridicules, demeans, threatens, or is abusive;
D. using physical intimidation or a show of force;
E. containing, restricting, isolating, secluding, or otherwise removing a person from normal activities when it is medically contraindicated or without monitoring the person;
F. denying or restricting a person's access to equipment and devices such as walkers, wheelchairs, hearing aids, and communication boards that facilitate the person's functioning. When the temporary removal of the equipment or device is necessary to prevent injury to the person or others or serious damage to the equipment or device, the equipment or device must be returned to the person as soon as imminent risk of injury or serious damage has passed;
G. using painful techniques, including intentional infliction of pain or injury, intentional infliction of fear of pain or injury, dehumanization, and degradation;
H. hyperextending or twisting a person's body parts;
I. tripping or pushing a person;
J. using punishment of any kind;
K. requiring a person to assume and maintain a specified physical position or posture;
L. using forced exercise;
M. totally or partially restricting a person's senses;
N. presenting intense sounds, lights, or other sensory stimuli;
O. using a noxious smell, taste, substance, or spray, including water mist;
P. depriving a person of or restricting access to normal goods and services, or requiring a person to earn normal goods and services;
Q. using token reinforcement programs or level programs that include a response cost or negative punishment component;
R. using a person receiving services to discipline another person receiving services;
S. using an action or procedure which is medically or psychologically contraindicated;
T. using an action or procedure that might restrict or obstruct a person's airway or impair breathing, including techniques whereby individuals use their hands or body to place pressure on a person's head, neck, back, chest, abdomen, or joints;
U. interfering with a person's legal rights, except as allowed by Minnesota Statutes, section 245D.04, subdivision 3, paragraph (c). For purposes of this item, "legal rights" means rights afforded in federal regulation or state licensing standards governing the program;
V. mechanical restraint, in accordance with Minnesota Statutes, section 245D.06, subdivision 5;
W. chemical restraint, in accordance with Minnesota Statutes, section 245D.06, subdivision 5;
X. manual restraint, except in an emergency in accordance with Minnesota Statutes, section 245D.061; and
Y. using any other interventions or procedures that may constitute an aversive or deprivation procedure.
Subp. 3. Restrictions.
Restrictions on the use of procedures as identified under Minnesota Statutes, section 245D.06, subdivision 6, are governed by the requirements of that section and this chapter.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0070 Emergency Use of Manual Restraint
Subpart 1. Governing law and requirements.
Emergency use of manual restraint and the requirements for a positive support transition plan are governed by Minnesota Statutes, sections 245D.06, subdivision 8, and 245D.061, the requirements of this chapter, and the forms and instructions for the positive support transition plan.
Subp. 2. Record keeping.
The license holder must retain documentation of emergency use of manual restraint or other documents required in this part in the person's permanent record for at least five years after creation of the documentation or other documents.
Subp. 3. Positive support transition plan required.
The license holder must develop a positive support transition plan in accordance with Minnesota Statutes, section 245D.06, subdivision 8, for a person who has been subjected to three incidents of emergency use of manual restraint within 90 days or four incidents of emergency use of manual restraint within 180 days.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0080 Notice
Subpart 1. When notice is required.
At the time of service initiation, or when the license holder adopts or changes a policy about the emergency use of manual restraint, the license holder must provide notice to the person receiving services of the license holder policy on the emergency use of manual restraint. The notice must inform the person receiving services of the person's rights under this chapter and Minnesota Statutes, section 245D.04. The notice must be in writing, and the license holder must obtain a written acknowledgment from the person, or the person's legal representative acting within the scope of the legal representative's authority, that the person receiving services has been notified.
Subp. 2. Notice to legal representative.
If the person receiving services has a legal representative, notice must also be given to the legal representative in accordance with subpart 1.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0090 Staff Qualifications and Training
Subpart 1. Core training for staff.
The license holder must ensure that staff responsible to develop, implement, monitor, supervise, or evaluate positive support strategies, a positive support transition plan, or the emergency use of manual restraint complete a minimum of eight hours of training from qualified individuals prior to assuming these responsibilities. Core training includes requiring staff to demonstrate knowledge of and competency in the following, in the setting in which services are provided:
A. de-escalation techniques and their value;
B. principles of person-centered service planning and delivery as identified in Minnesota Statutes, section 245D.07, subdivision 1a, and how they apply to direct support services provided by staff;
C. principles of positive support strategies such as positive behavior supports, the relationship between staff interactions with the person and the person's behavior, and the relationship between the person's environment and the person's behavior;
D. what constitutes the use of restraint, including chemical restraint, time out, and seclusion;
E. the safe and correct use of manual restraint on an emergency basis according to Minnesota Statutes, section 245D.061;
F. staff responsibilities related to prohibited procedures under Minnesota Statutes, section 245D.06, subdivision 5; why the procedures are not effective for reducing or eliminating symptoms or interfering behavior; and why the procedures are not safe;
G. staff responsibilities related to restricted and permitted actions and procedures under Minnesota Statutes, section 245D.06, subdivisions 6 and 7;
H. the situations in which staff must contact 911 services in response to an imminent risk of harm to the person or others;
I. the procedures and forms staff must use to monitor and report use of restrictive interventions that are part of a positive support transition plan;
J. the procedures and requirements for notifying members of the person's expanded support team after the use of a restrictive intervention with the person;
K. understanding of the person as a unique individual and how to implement treatment plans and responsibilities assigned to the license holder;
L. cultural competence; and
M. personal staff accountability and staff self-care after emergencies.
Subp. 2. Function-specific training.
In addition to the core training as required by subpart 1 and determining competency as required by subpart 4, the license holder must ensure that staff receive additional training based on their level of responsibility and qualifications, as set out in items A and B, prior to assuming these responsibilities. Equivalent training approved by the commissioner and completed within the previous 12 months fulfills these requirements.
A. Staff who develop positive support strategies and license holders, executives, managers, and owners in nonclinical roles must complete a minimum of four hours of additional training on the following:
B. License holders, executives, managers, and owners in nonclinical roles must complete a minimum of two hours of additional training on the following:
Subp. 3. Annual refresher training.
The license holder must ensure that staff complete four hours of refresher training on an annual basis covering each of the training areas listed in subparts 1 and 2 that are applicable to the staff and their responsibilities.
Subp. 4. Determining competency of the staff.
The license holder must ensure that staff demonstrate competency through knowledge testing or observed skill assessment conducted by a trainer or instructor as required in items A to C.
A. Before implementing positive support strategies, the staff must demonstrate competency to perform the positive support strategies relevant to the primary disability, diagnosis, or interfering behavior of the person in the manner described in the documentation required by part 9544.0030, subpart 1.
B. Before implementing restrictive procedures permitted in accordance with the requirements of this chapter, the staff must demonstrate competency to safely and correctly perform the specific restrictive interventions relevant to the person's primary disability, diagnosis, or interfering behavior included in the positive support transition plan in the manner described in the plan.
C. Any time a change is made to the relevant content in the positive support transition plan or the restrictive intervention identified in the plan, the staff must review, receive instruction, and demonstrate competency on the requirements in items A and B.
Subp. 5. Documentation.
The license holder must document completion of core training, additional training, and competency testing or assessment for each staff in the personnel record. The license holder must document the date the training, testing, or assessment was completed; the number of training hours per subject area; and the name and qualifications of the trainer or instructor. The license holder must also verify and maintain evidence of staff qualifications in the personnel record, including documentation of the following:
A. education and experience qualifications relevant to the staff's scope of practice, responsibilities assigned to the staff, and the needs of the general population of persons served by the program; and
B. professional licensure, registration, or certification, when applicable.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0100 Documentation and Record Keeping Requirements
Subpart 1. Documentation of use of positive support strategies.
Except as provided in subpart 2, the license holder must document compliance with the requirements of this chapter. The license holder must comply with the positive support strategy documentation requirements in part 9544.0030, subpart 1. The license holder must maintain appropriate data that:
A. reveals the progress or lack of progress towards each outcome or goal for each person;
B. ensures that staff are accountable for the services provided to the person; and
C. ensures that services can be evaluated and monitored by the license holder and the commissioner.
Subp. 2. Exemption.
A license holder providing family child care, family foster care, or family adult day services is exempt from the requirements to document general positive support strategy activities for children and adults for whom a positive support transition plan is not required, including the documentation requirements in part 9544.0030, subpart 1.
Subp. 3. Documentation of outcomes.
The license holder must document the progress or lack of progress towards each outcome or goal for each person, including the progress or lack of progress on quality of life indicators.
Subp. 4. Record keeping.
The information required in this part must be retained in the person's permanent record for at least five years from the creation or collection of the information.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0110 Reporting Use of Restrictive Interventions and Incidents
License holders must use the behavior intervention report form required by the commissioner to report the following to the commissioner:
A. an emergency use of manual restraint;
B. a medical emergency occurring as a result of the use of a restrictive intervention with a person that leads to a call to 911 or seeking physician treatment or hospitalization for a person;
C. a behavioral incident that results in a call to 911;
D. a mental health crisis occurring as a result of the use of a restrictive intervention that leads to a call to 911 or a provider of mental health crisis services as defined in Minnesota Statutes, section 245.462, subdivision 14c;
E. an incident that requires a call to mental health mobile crisis intervention services;
F. a person's use of crisis respite services due to use of a restrictive intervention;
G. use of pro re nata (PRN) medication to intervene in a behavioral situation. This does not include the use of a psychotropic medication prescribed to treat a medical symptom or a symptom of a mental illness or to treat a child with severe emotional disturbance;
H. an incident that the person's positive support transition plan requires the program to report; or
I. use of a restrictive intervention as part of a positive support transition plan as required in the plan.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0120 Quality Assurance and Program Improvement
A license holder must adopt a program improvement process to assess the ongoing implementation of positive support strategies and person-centered planning and to identify program strengths and opportunities for improvement. The license holder must perform these activities at least every six months. Upon review of the information, the license holder must take action to remedy problems or concerns identified in the positive support strategies and person-centered planning program. The license holder must document program improvement activities and submit process and outcome data as requested by the commissioner.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0130 External Program Review Committee
Subpart 1. Appointment.
The commissioner shall appoint members to an external program review committee to monitor the implementation of this chapter.
Subp. 2. Membership.
The commissioner must select committee members based on their expertise and knowledge on the use of positive support strategies as alternatives to the use of restrictive interventions. The committee shall include an expert in positive support strategies; a mental health professional as defined in Minnesota Statutes, section 245.462; a licensed health professional as defined in Minnesota Statutes, section 245D.02, subdivision 14; and a representative of the Department of Health.
Subp. 3. Duties and responsibilities.
The external program review committee shall monitor implementation of this chapter, make recommendations to the commissioner about policy changes related to the requirements in this chapter, and make recommendations to the commissioner to approve or deny requests for emergency use of procedures in accordance with Minnesota Statutes, section 245.8251, subdivision 4. The committee shall:
A. review requests made in accordance with the requirements of Minnesota Statutes, section 245D.06, subdivision 8, paragraph (b), for emergency use of procedures that have been part of an approved positive support transition plan when necessary to protect a person from imminent risk of serious injury as defined in Minnesota Statutes, section 245.91, subdivision 6, due to self-injurious behavior, and make a recommendation to the commissioner to approve or deny these requests. The committee must base its recommendation upon the determination that the provider has made a good faith effort to reduce the need for the procedure and that the emergency use of procedures is necessary to protect the person from imminent risk of serious injury. The committee must base its determination upon the documentation provided in accordance with Minnesota Statutes, section 245D.06, subdivision 8, paragraph (c). The committee must include in an approval the additional terms or conditions that the license holder must meet specific to that approval, if any;
B. review requests for use of a prohibited procedure that is not specifically permitted by part 9544.0050, or specifically prohibited by part 9544.0060, and make a recommendation to the commissioner to approve or deny these requests. The committee must base its recommendation upon the determination that the provider has made a good faith effort to reduce the need for a restrictive intervention and that the prohibited procedure is necessary to protect the person's health and safety for a limited time while positive support strategies are developed and implemented. Requests for use of a prohibited procedure must include the following:
C. evaluate the programs and systems of a license holder making a request under item A or B to ascertain the license holder's overall capacity to serve persons who are the subject of the request;
D. review each reported emergency use of manual restraint and the license holder's response to the emergency use for the person. The commissioner must identify criteria that the external program review committee will use to evaluate the license holder's response. If the committee determines that a change is needed to reduce the frequency or duration of future emergency uses by the license holder, the external program review committee must provide guidance to the license holder about its response; and
E. assess the competency of qualified professional applicants to develop and implement positive support transition plans.
Subp. 4. Number of external program review committees.
The commissioner may designate more than one external program review committee based on the number of requests for emergency use of procedures reviewed by the interim review panel under Minnesota Statutes, section 245.8251, subdivision 4. The criteria used to review requests according to subpart 3, items A and B, must be uniform across committees.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Minn. R. 9544.0140 Variances
A license holder subject to Minnesota Statutes, chapter 245A, may request a variance to a requirement in this chapter from the commissioner according to Minnesota Statutes, section 245A.04, subdivision 9.
History
- Statutory Authority: MS s 245.8251
- History: 40 SR 179
Chapter 9545 PRIVATE CHILD CARING OR PLACING AGENCIES
Minn. R. 9545.0010 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0020 Repealed by subpart
Subpart 1.
[Repealed, 28 SR 211]
Subp. 2.
[Repealed, 28 SR 211]
Subp. 3.
[Repealed, 15 SR 2105; 28 SR 211]
Subp. 4.
[Repealed, 28 SR 211]
Subp. 5.
[Repealed, 28 SR 211]
Subp. 6.
[Repealed, 28 SR 211]
Subp. 7.
[Repealed, 28 SR 211]
Subp. 8.
[Repealed, 28 SR 211]
Subp. 9.
[Repealed, 15 SR 2105; 28 SR 211]
Subp. 10.
[Repealed, 28 SR 211]
Subp. 11.
[Repealed, 28 SR 211]
Subp. 12.
[Repealed, 28 SR 211]
Subp. 13.
[Repealed, 28 SR 211]
Subp. 14.
[Repealed, 28 SR 211]
Subp. 15.
[Repealed, 28 SR 211]
Subp. 16.
[Repealed, 28 SR 211]
Subp. 17.
[Repealed, 28 SR 211]
Minn. R. 9545.0030 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0040 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0050 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0060 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0070 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0080 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0090 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0100 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0110 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0120 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0130 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0140 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0150 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0160 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0170 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0180 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0190 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0200 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0210 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0220 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0230 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0240 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0250 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0260 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0310 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0320 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0330 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0340 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0350 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0360 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0370 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0380 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0390 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0400 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0410 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0420 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0430 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0440 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0450 [Repealed, 9 SR 2106]
[Repealed, 9 SR 2106]
Minn. R. 9545.0510 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0520 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0530 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0540 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0550 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0560 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0570 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0580 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0590 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0600 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0610 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0620 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0630 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0640 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0650 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0660 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0670 [Repealed, 13 SR 173]
[Repealed, 13 SR 173]
Minn. R. 9545.0750 [Repealed, 18 SR 1593]
[Repealed, 18 SR 1593]
Minn. R. 9545.0755 Purpose and Applicability
Subpart 1. Purpose.
Minnesota Statutes, section 245A.03, subdivision 1, requires a private agency that receives a child for care, supervision, or placement in foster care or adoption or helps plan the placement of a child in foster care or adoption to be licensed by the commissioner. Additionally, Minnesota Statutes, section 317A.907, subdivision 3, specifies that a corporation formed under Minnesota Statutes, section 317A.907, to secure homes for orphaned, homeless, abandoned, neglected, or mistreated children must comply with rules established by the commissioner to govern its operation. Parts 9545.0755 to 9545.0845 establish the conditions for licensure of private child-placing agencies specified in Minnesota Statutes, section 317A.907, subdivision 3.
Subp. 2. Applicability.
Parts 9545.0755 to 9545.0845 apply to any private agency as defined in Minnesota Statutes, section 245A.02, subdivision 12, that operates in Minnesota and performs one or more of the activities listed in items A to H.
A. Supervises a licensed foster care provider that cares for a child for whom the commissioner, a county, a private agency, another entity, an Indian tribe, or the child's parent or guardian remains legally responsible.
B. Arranges for or provides short-term licensed foster care while a child is being legally freed for adoption or while an adoptive placement is being arranged.
C. Places a child for adoption under the written agreement specified in Minnesota Statutes, section 259.25, or as legal guardian under Minnesota Statutes, section 260C.325.
D. Compiles a listing from which a birth parent can identify potential adoptive parents for a child for whom adoption is projected.
E. Assists birth parents or prospective adoptive parents with fulfilling the requirements of Minnesota Statutes, sections 260.851 to 260.91, the Interstate Compact on the Placement of Children.
F. Collects health and social history from the birth family of a child for the information of the child's prospective adoptive parents.
G. Studies the suitability of an adoptive applicant's home.
H. Assists birth parents to execute consents to adoption. Parts 9545.0755 to 9545.0845 also apply to an agency that performs one or more of the activities listed in items A to H in Minnesota but is incorporated under the laws of a state other than Minnesota.
History
- Statutory Authority: MS s 245A.03; 317A.907
- History: 18 SR 1593; L 1999 c 139 art 4 s 2
Minn. R. 9545.0760 [Repealed, 18 SR 1593]
[Repealed, 18 SR 1593]
Minn. R. 9545.0765 Definitions
Subpart 1. Scope.
As used in parts 9545.0755 to 9545.0845, the following terms have the meanings given them.
Subp. 2. Agency.
Unless otherwise specified, "agency" means a private agency governed by parts 9545.0755 to 9545.0845.
Subp. 3. Applicant.
"Applicant" means an individual, corporation, partnership, voluntary association, controlling individual, or other organization that has applied for licensure under Minnesota Statutes, sections 245A.01 to 245A.16, and the rules of the commissioner.
Subp. 4. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designee.
Subp. 5. Controlling individual.
"Controlling individual" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 5a.
Subp. 6. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 7. License.
"License" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 8.
Subp. 8. Private agency.
"Private agency" as defined in Minnesota Statutes, section 245A.02, subdivision 12, means an individual, corporation, partnership, voluntary association or other organization, other than a county agency, or a court with jurisdiction, that places persons who cannot remain in their own homes in residential programs, foster care, or adoptive homes.
Subp. 9. Variance.
"Variance" means permission given by the commissioner in accordance with Minnesota Statutes, section 245A.04, subdivision 9, for a license holder to depart for a specified time from a standard specified in parts 9545.0755 to 9545.0845.
Subp. 10. Volunteer.
"Volunteer" means an individual who provides time or service to an agency without being compensated by the agency.
History
- Statutory Authority: MS s 245A.03; 317A.907
- History: 18 SR 1593
Minn. R. 9545.0770 Repealed by subpart
Subpart 1.
[Repealed, 18 SR 1593]
Subp. 2.
[Repealed, 18 SR 1593; 18 SR 2748]
Subp. 3.
[Repealed, 18 SR 1593; 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 1593; 18 SR 2748]
Subp. 5.
[Repealed, 18 SR 1593; 18 SR 2748]
Minn. R. 9545.0775 Licensure
Subpart 1. License required.
An agency that provides a service or performs an activity described in subpart 2 must be licensed under parts 9545.0755 to 9545.0845. In addition to other requirements, an individual, corporation, partnership, voluntary association, other organization, or controlling individual applying for a license to place children for adoption must comply with Minnesota Statutes, section 245A.04, subdivision 10.
Subp. 2. Application for licensure.
Applicants must apply for a license on the forms and in the manner prescribed by the commissioner.
Subp. 3. License option.
The form in subpart 2 must require an applicant to specify whether the applicant performs or intends to perform activities related both to foster care and adoption, only to foster care, or only to adoption. An applicant to perform adoption-related activities only must indicate how the agency will arrange for the licensed foster care needed while a child is being legally freed for adoption or while an adoptive placement for the child is being arranged.
Subp. 4. Notice to commissioner.
An agency must send the commissioner written notice at least 30 days before the agency:
A. moves from the location specified on the current application or license;
B. opens a new office or other setting where records required by parts 9545.0755 to 9545.0845 are kept;
C. proposes to increase its scope to include both foster care and adoption; or
D. closes. The agency's notice of closing must specify the arrangements the agency has made for transfer of records and clients as required in part 9545.0845.
Subp. 5. Commissioner's right of access.
Each site where an agency maintains offices or records is subject to the commissioner's inspection and right of access specified in Minnesota Statutes, section 245A.04, subdivision 5.
Subp. 6. Single license for multiple locations.
When an applicant for licensure under parts 9545.0755 to 9545.0845 maintains offices or records at more than one site and there is at least one controlling individual responsible for all the sites, the commissioner shall issue one license.
Subp. 7. Variances.
An applicant or license holder may request a variance to parts 9545.0755 to 9545.0845 as specified in Minnesota Statutes, section 245A.04, subdivision 9.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.03; 317A.907
- History: 18 SR 1593; 30 SR 585
Minn. R. 9545.0780 [Repealed, 18 SR 1593]
[Repealed, 18 SR 1593]
Minn. R. 9545.0785 Agency Governance and Administration
Subpart 1. Office in Minnesota.
An agency must maintain an office in Minnesota from which the activities carried out under the license issued by the commissioner are conducted.
Subp. 2. Space requirements.
An agency must allocate office space in such a way as to ensure confidentiality and safekeeping of records and provide privacy for interviews and conferences with clients and prospective clients.
Subp. 3. Legal organization.
A license holder or applicant must be organized according to a legal form of association or incorporation under Minnesota Statutes or the laws of another state. An agency incorporated under the laws of another state must have:
A. the certificate of authority to transact business in Minnesota required by Minnesota Statutes, chapter 303; and
B. the records and documents required by parts 9545.0755 to 9545.0845 at the registered office required by Minnesota Statutes, chapters 309 and 317A, or at another agency office in Minnesota listed on a license application.
Subp. 4. Conflict of interest.
An agency must develop written policies governing situations with potential conflict of interest. It is a potential conflict of interest when a provider supervised by an agency is also a board member of the agency or when a board member is also an applicant to adopt. Agencies that provide foster care services must comply with part 9543.0130, subpart 4.
History
- Statutory Authority: MS s 245A.03; 317A.907
- History: 18 SR 1593
Minn. R. 9545.0790 [Repealed, 18 SR 1593]
[Repealed, 18 SR 1593]
Minn. R. 9545.0795 Agency Finances
Subpart 1. Funding plan.
When an agency applies for initial or continuing licensure, it must submit a funding plan that projects income and other financial resources needed to operate in compliance with parts 9545.0755 to 9545.0845 for a period of at least one year beyond the date of application. The funding plan must include:
A. a projected program budget for foster care, adoption-related activities and services, or both, when applicable, that details by source the income and expenses anticipated for the 12-month period covered by the plan;
B. a balance sheet showing the agency's current assets and current liabilities; and
C. with applications for continuing licensure, the program operating budget for foster care, adoption services, or both, when applicable, for the current fiscal year. The budget must show actual income and expenditures. The information required by items A to C must be presented in the manner prescribed by the commissioner.
Subp. 2. Explanation of fees.
An agency that charges fees must make available to prospective clients written material that:
A. describes services for which a fee is typically charged;
B. explains the conditions under which fees are charged and waived, if applicable;
C. includes a fee schedule or explanation of how a fee amount is determined; and
D. includes a statement for individuals, as opposed to counties or other agencies, who become clients to sign indicating that they have read or had explained to them and understand the information on fees and services. The signed statement must be added to a client's file.
Subp. 3. Accounting of adoption expenses and fees.
An agency must annually submit the accounting of adoption-related expense required by Minnesota Statutes, section 317A.907, subdivision 6, on a form provided and designed by the commissioner to generate the required information.
History
- Statutory Authority: MS s 245A.03; 317A.907
- History: 18 SR 1593
Minn. R. 9545.0800 [Repealed, 18 SR 1593]
[Repealed, 18 SR 1593]
Minn. R. 9545.0805 Personnel
Subpart 1.
[Repealed, L 2024 c 115 art 19 s 30]
Subp. 2. Orientation.
Within the first five working days of an employee's or volunteer's starting date, an agency must provide orientation that addresses agency staff and volunteer responsibilities for:
A. reporting maltreatment as specified in Minnesota Statutes, chapter 260E; and
B. protecting information on clients as required by Minnesota Statutes, chapter 13.
Subp. 3. Annual training.
An agency must provide or arrange for the provision of at least 12 hours of training annually for staff members and volunteers who provide services to agency clients. For people in their first year of service to the agency, orientation hours provided under subpart 2 can be applied toward the 12 hours of annual training. Training must reflect the emphasis in Minnesota Statutes, section 260C.215, subdivision 6, on cultural diversity and children with special needs.
History
- Statutory Authority: MS s 245A.03; 317A.907
- History: 18 SR 1593; L 1999 c 139 art 4 s 2
Minn. R. 9545.0810 [Repealed, 18 SR 1593]
[Repealed, 18 SR 1593]
Minn. R. 9545.0815 Description of Agency Program and Services
An applicant must submit with its application and provide to prospective clients of agency services a written statement that contains the information in items A to G:
A. purpose and philosophy of the agency's program;
B. general description of children the agency places for adoption or supervises in foster care, with attention to such points as age or special needs that determine whether the agency is able to serve a child;
C. description of services the agency provides to children, birth families, and foster or adoptive families before, during, and after termination of foster care or finalization of an adoption;
D. statement of eligibility requirements or qualifications that the agency requires of adoptive or foster families;
E. description of the process used to study, approve, and select adoptive and foster families, and the approximate amount of time anticipated to complete the selection process;
F. description of orientation and training that will be provided for foster families or prospective adoptive families; and
G. statement that the agency complies with:
History
- Statutory Authority: MS s 245A.03; 317A.907
- History: 18 SR 1593; L 1994 c 631 s 31; L 1999 c 139 art 4 s 2; L 2012 c 216 art 6 s 13
Minn. R. 9545.0820 [Repealed, 18 SR 1593]
[Repealed, 18 SR 1593]
Minn. R. 9545.0825 Foster Care Placement Services
Subpart 1. If an agency has authority to place child in foster care.
If an agency has written consent from a child's parents or legal guardian, or a contract with the county, or a court order to place a child in foster care, the agency's responsibilities are the same as those listed for local agencies in part 9560.0540, subparts 2 and 3. The agency must meet the requirements of parts 9545.0010 to 9545.0260 when licensing child foster care homes.
Subp. 2. Providing foster care services under contract with a county.
When an agency provides child foster care services under contract with a county, the agency must develop and implement a service plan compatible with the case placement plan required of the county by part 9560.0610.
Subp. 3. Child's record.
For each child the agency supervises in foster care, the agency must have a record that contains the information required in Minnesota Statutes, section 257.01, and in items A to L:
A. the child's full name, date and place of birth, sex, and race;
B. all available information about the birth parents' full names, addresses, telephone numbers, and marital status;
C. all available information about the names and addresses of the child's siblings;
D. name of person or agency with legal custody of the child;
E. name and telephone number of persons to contact in an emergency;
F. copy of written agreement or order authorizing the county or, if applicable, the agency, to supervise the child's placement in foster care;
G. when applicable, case plan required of county by part 9560.0610;
H. agency service plans required by subpart 2;
I. documentation of child's most recent medical and dental examinations;
J. documentation of child's educational status;
K. case closing summary and the agency's plan for the continued provision of services to the child, if any; and
L. for an Indian child, record of determination of the child's tribe and notice to the tribe as required by Minnesota Statutes, section 257.32.
History
- Statutory Authority: MS s 245A.03; 317A.907
- History: 18 SR 1593
Minn. R. 9545.0830 [Repealed, 18 SR 1593]
[Repealed, 18 SR 1593]
Minn. R. 9545.0835 Adoption Placements
Subpart 1. Record of child's background and history.
When an agency accepts a child for adoptive placement or facilitates an adoption between a birth parent and a prospective adoptive parent, the agency is responsible for establishing and maintaining a record that meets the requirements of Minnesota Statutes, sections 257.01 and 259.79.
Subp. 2. Study of applicants to adopt.
An agency must study applicants to adopt a child in accordance with the procedures and criteria specified in part 9560.0140 for determining suitability of adoptive parent.
Subp. 3. Adoption-related foster care.
When an agency temporarily places a child in foster care while the child is being legally freed for adoption or while an alternative to a disrupted adoptive placement is being arranged, the foster care provider must be licensed under parts 9545.0010 to 9545.0260.
History
- Statutory Authority: MS s 245A.03; 317A.907
- History: 18 SR 1593; L 1994 c 631 s 31
Minn. R. 9545.0845 [Repealed, L 2024 c 115 art 16 s 47]
[Repealed, L 2024 c 115 art 16 s 47]
Minn. R. 9545.0900 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0905 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0910 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0915 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0920 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0925 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0930 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0935 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0940 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0945 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0950 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0955 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0960 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0965 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0970 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0975 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0980 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0985 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.0990 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.0995 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1000 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1005 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1010 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1015 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1020 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1025 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1030 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1035 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1040 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1045 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1050 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1055 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1060 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1065 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1070 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1075 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1080 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1085 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1090 [Repealed, 20 SR 526]
[Repealed, 20 SR 526]
Minn. R. 9545.1095 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1105 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1115 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1125 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1200 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1210 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1220 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1230 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1240 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1250 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1260 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1270 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1280 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1290 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1300 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1310 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1320 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1330 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9545.1400 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1410 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1420 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1430 Repealed by subpart
Subpart 1.
[Repealed, 28 SR 211]
Subp. 2.
[Repealed, 28 SR 211]
Subp. 3.
[Repealed, 28 SR 211]
Subp. 4.
[Repealed, 28 SR 211]
Subp. 5.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 6.
[Repealed, 28 SR 211]
Subp. 7.
[Repealed, 28 SR 211]
Subp. 8.
[Repealed, 28 SR 211]
Subp. 9.
[Repealed, 18 SR 2748; 28 SR 211]
Minn. R. 9545.1440 Repealed by subpart
Subpart 1.
[Repealed, 28 SR 211]
Subp. 2.
[Repealed, 28 SR 211]
Subp. 3.
[Repealed, 28 SR 211]
Subp. 4.
[Repealed, 28 SR 211]
Subp. 5.
[Repealed, 28 SR 211]
Subp. 6.
[Repealed, 28 SR 211]
Subp. 7.
[Repealed, 28 SR 211]
Subp. 8.
[Repealed, 28 SR 211]
Subp. 9.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 10.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 11.
[Repealed, 28 SR 211]
Minn. R. 9545.1450 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1460 Repealed by subpart
Subpart 1.
[Repealed, 28 SR 211]
Subp. 2.
[Repealed, 28 SR 211]
Subp. 3.
[Repealed, 28 SR 211]
Subp. 4.
[Repealed, 28 SR 211]
Subp. 5.
[Repealed, 28 SR 211]
Subp. 6.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 7.
[Repealed, 28 SR 211]
Minn. R. 9545.1470 [Repealed, 28 SR 211]
[Repealed, 28 SR 211]
Minn. R. 9545.1480 Repealed by subpart
Subpart 1.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 2.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 3.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 4.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 5.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 6.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 7.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 8.
[Repealed, 18 SR 2748; 28 SR 211]
Subp. 9.
[Repealed, 28 SR 211]
Minn. R. 9545.1490 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9545.1500 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9545.2000 [Repealed, L 2003 1Sp14 art 6 s 68]
[Repealed, L 2003 1Sp14 art 6 s 68]
Minn. R. 9545.2010 [Repealed, L 2003 1Sp14 art 6 s 68]
[Repealed, L 2003 1Sp14 art 6 s 68]
Minn. R. 9545.2020 [Repealed, L 2003 1Sp14 art 6 s 68]
[Repealed, L 2003 1Sp14 art 6 s 68]
Minn. R. 9545.2030 [Repealed, L 2003 1Sp14 art 6 s 68]
[Repealed, L 2003 1Sp14 art 6 s 68]
Minn. R. 9545.2040 [Repealed, L 2003 1Sp14 art 6 s 68]
[Repealed, L 2003 1Sp14 art 6 s 68]
Chapter 9546 RELOCATION OF RESIDENTS IN FACILITIES
Minn. R. 9546.0010 [Repealed, L 2001 1Sp9 art 5 s 41]
[Repealed, L 2001 1Sp9 art 5 s 41]
Minn. R. 9546.0020 [Repealed, L 2001 1Sp9 art 5 s 41]
[Repealed, L 2001 1Sp9 art 5 s 41]
Minn. R. 9546.0030 [Repealed, L 2001 1Sp9 art 5 s 41]
[Repealed, L 2001 1Sp9 art 5 s 41]
Minn. R. 9546.0040 [Repealed, L 2001 1Sp9 art 5 s 41]
[Repealed, L 2001 1Sp9 art 5 s 41]
Minn. R. 9546.0050 [Repealed, L 2001 1Sp9 art 5 s 41]
[Repealed, L 2001 1Sp9 art 5 s 41]
Minn. R. 9546.0060 [Repealed, L 2001 1Sp9 art 5 s 41]
[Repealed, L 2001 1Sp9 art 5 s 41]
Chapter 9549 NURSING FACILITY PAYMENT RATES
Minn. R. 9549.0010 Scope
Parts 9549.0010 to 9549.0080 establish procedures for determining the payment rates for nursing facilities participating in the medical assistance program.
History
- Statutory Authority: MS s 256B.41 to 256B.502
- History: 9 SR 2659; L 1992 c 513 art 7 s 136
Minn. R. 9549.0020 Definitions
Subpart 1. Applicability.
As used in parts 9549.0010 to 9549.0080 the following terms have the meanings given them.
Subp. 2.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 3. Addition.
"Addition" means an extension, enlargement, or expansion of the nursing facility for the purpose of increasing the number of licensed beds or improving resident care.
Subp. 4. Applicable credit.
"Applicable credit" means a receipt or expense reduction as a result of a purchase discount, rebate, refund, allowance, public grant, beauty shop income, guest meals income, adjustment for overcharges, insurance claims settlement, recovered bad debts, or any other adjustment or income reducing the costs claimed by a nursing facility.
Subp. 5. Appraised value.
"Appraised value" means the value of the nursing facility buildings, attached fixtures, and land improvements used directly for resident care as determined under part 9549.0060.
Subp. 6. Attached fixtures.
"Attached fixtures" means equipment used directly for resident care affixed to the building and not easily movable as specified in the fixed equipment table of the depreciation guidelines.
Subp. 7. Buildings.
"Buildings" means the physical plant used directly for resident care and licensed under Minnesota Statutes, chapter 144A or Minnesota Statutes, sections 144.50 to 144.56, and auxiliary buildings in the nature of sheds, garages, and storage buildings located on the site if used directly for resident care. This definition does not include buildings or portions of buildings used by central, affiliated, or corporate offices.
Subp. 8. Building capital allowance.
"Building capital allowance" means the component of the property-related payment rate which is denominated as a payment for the use of buildings, attached fixtures, and land improvements.
Subp. 9. Capital assets.
"Capital assets" means a nursing facility's buildings, attached fixtures, land improvements, depreciable equipment, leasehold improvements, and all additions to or replacements of those assets used directly for resident care.
Subp. 10. Commenced construction.
"Commenced construction" means the date on which a newly constructed nursing facility, or nursing facility with an increase in licensed beds of 50 percent or more, meets all the following conditions:
A. The final working drawings and specifications were approved by the commissioner of health.
B. The construction contracts were let.
C. A timely construction schedule was developed, stipulating dates for beginning, achieving various stages, and completing construction.
D. All zoning and building permits have been issued.
E. Financing for the project was secured as evidenced by the issuance of a binding letter of commitment by the financial institution, sale of bonds, or other similarly binding agreements.
Subp. 11. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services.
Subp. 12.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 13.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 14. Deletion.
"Deletion" means the sale, destruction, or dismantling of a nursing facility capital asset or a portion of a nursing facility capital asset without subsequent replacement.
Subp. 15. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 16. Depreciated replacement cost method.
"Depreciated replacement cost method" means the method of property appraisal which determines the value of a capital asset by establishing the replacement cost new reduced by depreciation. As used in this subpart and part 9549.0060:
A. "Replacement cost new" means the amount required to obtain a new asset of equivalent utility to that which exists, but built at current prices, with modern materials and according to current standards, designs, and layout.
B. "Depreciation" means a loss of utility and hence value caused by deterioration or physical depreciation such as wear and tear, decay, dry rot, cracks, encrustations, or structural defects; and functional obsolescence such as poor plan, mechanical inadequacy or overadequacy, and functional inadequacy or overadequacy due to size, style, or age.
Subp. 17. Depreciable equipment.
"Depreciable equipment" means the standard movable care equipment and support service equipment generally used in nursing facilities. Depreciable equipment includes that equipment specified in the major movable equipment table of the depreciation guidelines.
Subp. 18. Depreciation guidelines.
"Depreciation guidelines" means "The Estimated Useful Lives of Depreciable Hospital Assets," issued by the American Hospital Association, 840 North Lake Shore Drive, Chicago, Illinois 60611 (Chicago: 1983). Except as provided in Minnesota Statutes, section 144A.071, subdivision 1a, paragraph (h), the useful lives in the depreciation guidelines must not be used in the determination of the total payment rate. The depreciation guidelines are incorporated by reference and are available for reference at the Minnesota State Law Library, 25 Rev. Dr. Martin Luther King Jr. Blvd., Saint Paul, Minnesota 55155.
Subp. 19. Desk audit.
"Desk audit" means the establishment of the payment rate based on the commissioner's review and analysis of required reports, supporting documentation, and work sheets submitted by the nursing facility.
Subp. 20.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 21. Equipment allowance.
"Equipment allowance" means the component of the property-related payment rate which is denominated as a payment for the use of depreciable equipment.
Subp. 22. Field audit.
"Field audit" means the on-site examination, verification, and review of the financial records, statistical records, and related supporting documentation of the nursing facility and any related organization.
Subp. 23.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 24.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 25.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 26.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 27.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 28. Land improvement.
"Land improvement" means an improvement to the land surrounding the nursing facility directly used for resident care as specified in the land improvements table of the depreciation guidelines, if replacement of the land improvement is the responsibility of the nursing facility.
Subp. 29. Medical assistance program.
"Medical assistance program" means the program which reimburses the cost of health care provided to eligible recipients pursuant to Minnesota Statutes, chapter 256B and United States Code, title 42, section 1396 et seq.
Subp. 30.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 31.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 32.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 33.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 34.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 35.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 36.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 37. Real estate taxes and special assessments.
"Real estate taxes and special assessments" means the real estate tax liability shown on the annual property tax statement of the nursing facility for the calendar year during which the rate year begins and the actual special assessments and related interest paid during the reporting year. The term does not include personnel costs or fees for late payment.
Subp. 38.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 39. Repair.
"Repair" means the cost of labor and materials needed to restore an existing capital asset to sound condition after damage or malfunction or to maintain an existing capital asset in a usable condition.
Subp. 40. Replacement.
"Replacement" means a renovation or substitution of an existing capital asset to improve its function or extend its useful life.
Subp. 41.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 42.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 43.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 44.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 45. Useful life.
"Useful life" means the length of time an asset is expected to provide economic service before needing replacement.
Subp. 46.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 47.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 48. Working capital debt.
"Working capital debt" means debt incurred to finance nursing facility operating costs. Working capital debt does not include debt incurred to acquire or refinance a capital asset.
Subp. 49. Working capital interest expense.
"Working capital interest expense" means the interest expense incurred on working capital debt during the reporting year.
History
- Statutory Authority: MS s 256B.41 to 256B.502
- History: 9 SR 2659; L 1992 c 513 art 7 s 136; L 2014 c 262 art 4 s 9; art 5 s 6
Minn. R. 9549.0030 [Repealed, L 2014 c 262 art 4 s 9]
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0035 Determination of Allowable Costs
Subpart 1.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 2. Applicable credits.
Applicable credits must be used to offset or reduce the expenses of the nursing facility to the extent that the cost to which the credits apply was claimed as a nursing facility cost. Interest income, dividend income, and other investment income of the nursing facility or related organization are not applicable credits except to the extent that the interest expense on working capital debt is incurred and claimed as a reimbursable expense by the nursing facility or related organization. Interest income must not be offset against working capital interest expense if it relates to a bond sinking fund or a restricted fund as defined in part 9549.0060, subpart 7, item B, or other restricted fund if the income is not available to the nursing facility or related organization. Gains or losses on the sales of capital assets used by the nursing facility must not be applicable credits.
Subp. 3.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 4.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 5.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 6.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 7.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 8.
[Repealed, L 2016 c 99 art 1 s 43]
History
- Statutory Authority: MS s 256B.41 to 256B.502
- History: 9 SR 2659; L 1992 c 513 art 7 s 136; L 2014 c 262 art 4 s 9; art 5 s 6; L 2016 c 99 art 1 s 43
Minn. R. 9549.0036 [Repealed, L 2014 c 262 art 4 s 9]
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0040 [Repealed, L 2014 c 262 art 4 s 9]
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0041 Repealed by subpart
Subpart 1.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 2.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 3.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 4.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 5.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 6.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 7.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 8.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 9.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 10.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 11.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 12.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 13.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 14.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 15.
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0050 [Repealed, L 2014 c 262 art 4 s 9]
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0051 Definitions
Subpart 1.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 2.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 3.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 4.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 5.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 6.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 7.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 8.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 9.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 10.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 11.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 12.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 13. Short length of stay facility.
"Short length of stay facility" means a nursing facility that is certified to provide a skilled level of care and has an average length of stay of 180 days or less in its skilled level of care. For the purpose of this definition the commissioner shall calculate average length of stay for the nursing facility by dividing actual resident days in the skilled level of care for which the nursing facility can bill, by the total number of discharges from the skilled level of care during the reporting year.
Subp. 14.
[Repealed, L 2014 c 262 art 4 s 9]
History
- Statutory Authority: MS s 256B.41; 256B.431
- History: 11 SR 1990; L 1992 c 513 art 7 s 136; 18 SR 2584; L 2014 c 262 art 4 s 9
Minn. R. 9549.0052 Establishment of Geographic Groups
Subpart 1. Classification process.
The commissioner shall classify Minnesota nursing facilities according to their geographic location as indicated in subparts 2 to 4.
Subp. 2. Group 1.
All nursing facilities in Beltrami, Big Stone, Cass, Chippewa, Clearwater, Cottonwood, Crow Wing, Hubbard, Jackson, Kandiyohi, Lac Qui Parle, Lake of the Woods, Lincoln, Lyon, Mahnomen, Meeker, Morrison, Murray, Nobles, Pipestone, Redwood, Renville, Rock, Swift, Todd, Yellow Medicine, and Wadena counties must be placed in geographic group 1.
Subp. 3. Group 2.
All nursing facilities in counties other than the counties listed under subparts 2 and 4 must be placed in geographic group 2.
Subp. 4. Group 3.
All nursing facilities in Aitkin, Anoka, Carlton, Carver, Cook, Dakota, Hennepin, Itasca, Koochiching, Lake, Ramsey, Saint Louis, Scott, and Washington counties must be placed in geographic group 3.
History
- Statutory Authority: MS s 256B.41; 256B.431
- History: 11 SR 1990; L 1992 c 513 art 7 s 136
Minn. R. 9549.0053 [Repealed, L 2014 c 262 art 4 s 9]
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0054 [Repealed, L 2014 c 262 art 4 s 9]
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0055 Repealed by subpart
Subpart 1.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 2.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 3.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 4.
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0056 [Repealed, L 2014 c 262 art 4 s 9]
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0057 [Repealed, L 2019 1Sp9 art 4 s 30]
[Repealed, L 2019 1Sp9 art 4 s 30]
Minn. R. 9549.0058 Resident Classes and Class Weights
Subpart 1. Resident classes.
Each resident or applicant must be assessed according to items A to E based on the information on the assessment form completed in accordance with part 9549.0059.
A. A resident or applicant must be assessed as dependent in an activity of daily living or ADL according to the following table:
B. A resident or applicant assessed as dependent in fewer than four of the ADLs in item A must be defined as Low ADL. A resident or applicant assessed as dependent in four through six of the ADLs in item A must be defined as Medium ADL. Each resident or applicant assessed as dependent in seven or eight of the ADLs in item A must be defined as High ADL.
C. A resident or applicant must be defined as special nursing if the resident or applicant meets the criteria in subitem (1) or (2):
D. A resident or applicant must be defined as having a neuromuscular condition if the resident or applicant is assessed to have one or more of the diagnoses coded to the categories in subitems (1) to (8) according to the International Classification of Diseases, 9th Revision, Clinical Modification (ICD-9-CM), as published by the Commission on Professional and Hospital Activities, 1968 Green Road, Ann Arbor, Michigan (1978). This publication is incorporated by reference. The publication is available through the Minitex interlibrary loan system and is not subject to frequent change.
E. A resident or applicant must be defined as having a behavioral condition if the resident's or applicant's assessment score is two or more for behavior on the assessment form.
Subp. 2. Resident classes.
The commissioner shall establish resident classes according to items A to K. The resident classes must be established based on the definitions in subpart 1.
A. A resident must be assigned to class A if the resident is assessed as:
B. A resident must be assigned to class B if the resident is assessed as:
C. A resident must be assigned to class C if the resident is assessed as:
D. A resident must be assigned to class D if the resident is assessed as:
E. A resident must be assigned to class E if the resident is assessed as:
F. A resident must be assigned to class F if the resident is assessed as:
G. A resident must be assigned to class G if the resident is assessed as:
H. A resident must be assigned to class H if the resident is assessed as:
I. A resident must be assigned to class I if the resident is assessed as:
J. A resident must be assigned to class J if the resident is assessed as:
K. A resident must be assigned to class K if the resident is assessed as:
Subp. 3. Class weights.
The commissioner shall assign weights to each resident class established in subpart 2 according to items A to K.
A. Class A, 1.00;
B. Class B, 1.30;
C. Class C, 1.64;
D. Class D, 1.95;
E. Class E, 2.27;
F. Class F, 2.29;
G. Class G, 2.56;
H. Class H, 3.07;
I. Class I, 3.25;
J. Class J, 3.53;
K. Class K, 4.12.
History
- Statutory Authority: MS s 256B.41; 256B.431
- History: 11 SR 1990
Minn. R. 9549.0059 Resident Assessment
Subpart 1. Assessment of nursing facility applicants and newly admitted residents.
Each nursing facility applicant or newly admitted resident must be assessed for the purpose of determining the applicant's or newly admitted resident's class. The assessment must be conducted according to the procedures in items A to I.
A. The county preadmission screening team or hospital screening team under contract with the county must assess all nursing facility applicants for whom preadmission screening is required by Minnesota Statutes, section 256B.0911, and any applicant for whom a preadmission screening is not required but who voluntarily requests such a screening in accordance with Minnesota Statutes, section 256B.0911, except as provided in subitems (1) and (2).
B. Except as provided in item A, subitem 2, the nursing facility must assess each applicant or newly admitted resident for whom a preadmission screening is not required by Minnesota Statutes, section 256B.0911, or is not requested voluntarily in accordance with Minnesota Statutes, section 256B.0911. For the purposes of this item, the term newly admitted resident includes a resident who moves to a section of the nursing facility that is licensed differently than the section the resident previously was placed in or a resident who has been transferred from another nursing facility.
C. Except as provided in item D, the assessment required by this subpart must be performed within ten working days before or ten working days after the date the applicant is admitted to the nursing facility.
D. Any resident who is required to be assessed by the preadmission screening team under item A or who has received a prior preadmission screening, and for whom the assessment required under this subpart has not been performed by the preadmission screening team within ten working days before or ten working days after the date the applicant is admitted to the nursing facility must be assessed by the nursing facility. The nursing facility must perform the assessment and submit the forms to the Department of Health within 15 working days after admission.
E. Each assessment that the nursing facility is required to perform must be completed by a registered nurse. The registered nurse performing the assessment must sign the assessment form.
F. The assessment of each applicant or newly admitted resident must be based on the QA&R procedures of the Department of Health including physical observation of the applicant or newly admitted resident and review of available medical records, and must be recorded on the assessment form.
G. Within five working days following the assessment, the preadmission screening team or hospital screening team under contract with the county must send the completed assessment form to the Department of Health, and provide a copy to the nursing facility.
H. Except as provided in item D, each assessment completed under items A to G and a completed medical plan of care or interagency transfer form must be submitted to the Department of Health by the nursing facility as a request for classification within ten working days after admission or after the assessment, whichever is later.
I. The resident class for applicants or newly admitted residents must be effective on the date of the person's admission to the nursing facility.
Subp. 2. Semiannual assessment by nursing facilities.
Semiannual assessments of residents by the nursing facility must be completed in accordance with items A to D.
A. A nursing facility must assess each of its residents no earlier than 162 days and no later than 182 days after the date of the most recent annual assessment by the Department of Health's QA&R team.
B. A registered nurse shall assess each resident according to QA&R procedures established by the Department of Health including physical observation of the resident, review of the medical plan of care, and review of the resident's plan of care, and shall record the assessment on the assessment form. The Physician's Statement of General Condition (item 10), Individual Dependencies (items 21 to 24 and 28), Medications (items 31 to 34), and Primary, Secondary, and Tertiary Diagnoses (on the back of the form) do not require completion. The registered nurse performing the assessment shall sign the assessment form on the day the assessment is completed.
C. Within five working days of the completion of the nursing facility's semiannual resident assessments, the nursing facility must forward to the Department of Health requests for classification for all residents assessed for the semiannual assessment. These requests must include the assessment forms and the nursing facility's daily census for the date on which the assessments were completed including an explanation of any discrepancy between the daily census and the number of assessments submitted. The nursing facility must provide additional information to the Department of Health if the Department of Health requests the information in order to determine a resident's classification.
D. Any change in resident class due to a semiannual assessment must be effective on the first day of the month following the date of the completion of the semiannual assessments.
Subp. 3. Change in classification due to annual assessment by Department of Health.
Any change in resident class due to an annual assessment by the Department of Health's QA&R team will be effective as of the first day of the month following the date of completion of the Department of Health's assessments. QA&R shall not establish classifications for residents who experience an admission, transfer, hospital return, or discharge occurring during the QA&R team visit.
Subp. 4. Assessment upon return to the nursing facility from a hospital.
Residents returning to a nursing facility after hospitalization must be assessed according to items A to D.
A. A nursing facility must assess any resident who has returned to the same nursing facility after a hospital admission. The assessment must occur no more than five working days after the resident returns to the same nursing facility.
B. In addition to the assessment required in item A, residents who have returned to the same nursing facility after hospital admission must be reassessed by the nursing facility no less than 30 days and no more than 35 days after return from the hospital unless the nursing facility's annual or semiannual reassessment occurs during the specified time period.
C. A registered nurse shall perform the assessment on each resident according to QA&R procedures established by the Department of Health, including physical observation of the resident, review of the medical plan of care, and review of the resident's plan of care, and shall record the assessment on the assessment form. The registered nurse who performs the assessment shall sign the assessment form. Within five working days of the completion of the assessment, the nursing facility must forward to the Department of Health a request for a classification for any resident assessed upon return to the nursing facility after a hospital admission. This request must include the assessment form and the resident's medical plan of care or interagency transfer form. Upon request, the nursing facility must furnish the Department of Health with additional information needed to determine a resident's classification.
D. Any change in resident class due to an assessment provided under item A must be effective on the date the resident returns to the nursing facility from the hospital. Any change in resident class due to a reassessment provided under item B must be effective as of the first of the month following the assessment.
Subp. 5. Change in resident class due to audits of assessments of nursing facility residents.
Any change in resident class due to a reclassification required by part 4656.0050 must be retroactive to the effective date of the assessment audited.
Subp. 6. False information.
If the nursing facility knowingly supplies inaccurate or false information in an assessment or a request for reconsideration, the commissioner shall apply the penalties in Minnesota Statutes, section 256B.441, subdivision 43.
Subp. 7. Reconsideration of resident classification.
Any request for reconsideration of a resident classification must be made under part 4656.0070.
Subp. 8. Change in resident class due to request for reconsideration of resident classification.
Any change in a resident class due to a request for reconsideration of the classification must be made in accordance with items A and B.
A. The resident classification established by the Department of Health must be the classification that applies to the resident while any request for reconsideration under part 4656.0070 is pending.
B. Any change in a resident class due to a reclassification under part 4656.0070 must be effective as of the effective date of the classification established by the original assessment for which a reconsideration was requested.
Subp. 9. Resident access to assessments and documentation.
The nursing facility must provide access to information regarding rates, assessments, and other documentation provided to the Department of Health in support of the resident's assessments to each nursing facility resident or the resident's authorized representative according to items A to D.
A. The nursing facility must post a notice of its current rates for each resident class in a conspicuous place. The rates must be posted no later than five days after receipt by the nursing facility. The nursing facility must include a notice that the nursing facility has chosen to appeal the rates under part 9549.0080.
B. The nursing facility must provide written notice to each private paying resident or the person responsible for payment of any increase in the total payment rate established by the commissioner 30 days before the increase takes effect as required by Minnesota Statutes, section 256B.47, subdivision 2. The notice must specify the current classification of the resident. This item does not apply to adjustments in rates due to a necessary change in the resident's classification as a result of an assessment required in this part.
C. The nursing facility must provide each nursing facility resident or the person responsible for payment with each classification letter received from the Department of Health within five days of the receipt of the classification letter. When the private paying resident is not the person responsible for payment, the classification letter must be sent to the person responsible for payment. If the resident's classification has changed, the nursing facility must include the current rate for the new classification with the classification letter.
D. The nursing facility must provide each nursing facility resident or the resident's authorized representative with a copy of the assessment form and any other documentation provided to the Department of Health in support of the assessment within three working days of receipt of a written request from the resident or the resident's authorized representative.
History
- Statutory Authority: MS s 256B.41; 256B.431
- History: 11 SR 1990; L 1987 c 309 s 24; 13 SR 130; 16 SR 93; L 1992 c 513 art 7 s 136; 18 SR 2584; L 2014 c 262 art 5 s 6
Minn. R. 9549.0060 Determination of the Property-Related Payment Rate
Subpart 1.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 2.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 3.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 4. Determination of allowable appraised value.
A nursing facility's appraised value must be limited by items A to C.
A. For rate years beginning after June 30, 1985, the replacement cost new per bed limit for licensed beds in single bedrooms and multiple bedrooms is determined according to subitems (1) to (4):
B. Each nursing facility's maximum allowable replacement cost new is determined annually according to subitems (1) to (3):
C. The nursing facility's replacement cost new determined in subparts 1 to 3 must be reduced by the replacement cost new of portions of the nursing facility used for functions whose costs are disallowed under parts 9549.0010 to 9549.0080.
D. The adjusted replacement cost new is the lesser of item B or C.
E. The adjusted depreciation is determined by subtracting from the depreciation in subparts 1 to 3 the amount of depreciation, if any, related to the portion of the nursing facility's replacement cost new disallowed in item C or D.
F. The nursing facility's allowable appraised value is determined by subtracting the amount determined in item E from the amount in item D. If no adjustment to the replacement cost new is required in items C and D, then the nursing facility's allowable appraised value is the appraised value determined in subparts 1 to 3.
Subp. 5. Allowable debt.
For purposes of determining the property-related payment rate, the commissioner shall allow or disallow debt according to items A to D.
A. Debt shall be limited as follows:
B. The nursing facility shall apportion debts incurred before October 1, 1984, among land and buildings, attached fixtures, land improvements, depreciable equipment and working capital by direct identification. If direct identification of any part of the debt is not possible, that portion of the debt which cannot be directly identified shall be apportioned to each component, except working capital debt, based on the ratio of the historical cost of the component to the total historical cost of all components. The portion of debt assigned to land and buildings, attached fixtures, and land improvements is allowable debt. A hospital attached nursing facility that has debts that are not directly identifiable to the hospital or the nursing facility shall allocate the portion of allowable debt computed according to subpart 5, and allowable interest expense computed according to subpart 7 assigned to land and buildings, attached fixtures, and land improvements using the Medicare stepdown method described in subpart 1.
C. For debts incurred after September 30, 1984, the nursing facility shall directly identify the proceeds of the debt associated with specific land and buildings, attached fixtures, and land improvements, and keep records that separate such debt proceeds from all other debt. Only the debt identified with specific land and buildings, attached fixtures, and land improvement shall be allowed.
D. For reporting years ending on or after September 30, 1984, the total amount of allowable debt shall be the sum of all allowable debts at the beginning of the reporting year plus all allowable debts at the end of the reporting year divided by two. Nursing facilities which have a debt with a zero balance at the beginning or end of the reporting year must use a monthly average for the reporting year.
E. Debt incurred as a result of loans between related organizations must not be allowed.
Subp. 6. Limitations on interest rates.
The commissioner shall limit interest rates according to items A to C.
A. Except as provided in item B, the effective interest rate of each allowable debt, including points, financing charges, and amortization bond premiums or discounts, entered into after September 30, 1984, is limited to the lesser of:
B. Variable or adjustable rates for allowable debt are allowed subject to item A. For each allowable debt with a variable or adjustable rate, the effective interest rate must be computed by dividing the interest expense for the reporting year by the average allowable debt computed under subpart 5, item D.
C. For rate years beginning on July 1, 1985, and July 1, 1986, the effective interest rate for debts incurred before October 1, 1984, is allowed if the interest rate is not in excess of what the borrower would have had to pay in an arms length transaction in the market in which the debt was incurred. For rate years beginning after June 30, 1987, the effective interest rate for debts incurred before October 1, 1984, is allowed subject to item A.
Subp. 7. Allowable interest expense.
The commissioner shall allow or disallow interest expense including points, finance charges, and amortization bond premiums or discounts under items A to G.
A. Interest expense is allowed only on the debt which is allowed under subpart 5 and within the interest rate limits in subpart 6.
B. A nonprofit nursing facility shall use its restricted funds to purchase or replace capital assets to the extent of the cost of those capital assets before it borrows funds for the purchase or replacement of those capital assets. For purposes of this item and part 9549.0035, subpart 2, a restricted fund is a fund for which use is restricted to the purchase or replacement of capital assets by the donor or by the nonprofit nursing facility's board.
C. Construction period interest expense must be capitalized as a part of the cost of the building. The period of construction extends to the earlier of either the first day a resident is admitted to the nursing facility, or the date the nursing facility is certified to receive medical assistance recipients.
D. Interest expense for allowable debts entered into after May 22, 1983, is allowed for the portion of the debt which together with all outstanding allowable debt does not exceed 100 percent of the most recent allowable appraised value as determined in subparts 1 to 4.
E. Increases in interest expense after May 22, 1983, which are the result of changes in ownership or reorganization of provider entities, are not allowable.
F. Except as provided in item G, increases in total interest expense which are the result of refinancing of debt after May 22, 1983, are not allowed. The total interest expense must be computed as the sum of the annual interest expense over the remaining term of the debt refinanced.
G. Increases in total interest expense which result from refinancing a balloon payment on allowable debt after May 22, 1983, shall be allowed according to subitems (1) to (3).
Subp. 8.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 9.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 10. Equipment allowance.
For rate years beginning after June 30, 1985, the equipment allowance must be computed according to items A to E.
A. The historical cost of depreciable equipment for nursing facilities which do not have costs for operating leases for depreciable equipment in excess of $10,000 during the reporting year ending September 30, 1984, is determined under subitem (1) or (2).
B. The historical cost per bed of depreciable equipment for each nursing facility must be computed by dividing the total historical cost of depreciable equipment determined in item A by the nursing facility's total number of licensed beds on September 30, 1984.
C. All nursing facilities must be grouped in one of the following:
D. Within each group determined in item C, the historical cost per bed for each nursing facility determined in item B must be ranked and the median historical cost per bed established.
E. The median historical cost per bed for each group in item C as determined in item D must be increased by ten percent. For rate years beginning after June 30, 1986, this amount shall be adjusted annually by the percentage change indicated by the urban consumer price index for Minneapolis-Saint Paul, as published by the Bureau of Labor Statistics, new series index (1967=100) for the two previous Decembers. This index is incorporated by reference and available at the James J. Hill Reference Library, Saint Paul, Minnesota.
F. The equipment allowance for each group in item C shall be the amount computed in item E multiplied by 15 percent and divided by 350.
Subp. 11. Capacity days.
The number of capacity days is determined under items A to C.
A. The number of capacity days is determined by multiplying the number of licensed beds in the nursing facility by the number of days in the nursing facility's reporting period.
B. Except as in item C, nursing facilities shall increase the number of capacity days by multiplying the number of licensed single bedrooms by 0.5 and by the number of days in the nursing facility's reporting period.
C. The commissioner shall waive the requirements of item B if a nursing facility agrees in writing to subitems (1) to (3).
Subp. 12.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 13.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 14.
[Repealed, L 2019 1Sp9 art 4 s 30]
History
- Statutory Authority: MS s 256B.41; 256B.431; 256B.502
- History: 9 SR 2659; 11 SR 866; 11 SR 1989; 13 SR 130; L 1992 c 513 art 7 s 136; L 2014 c 262 art 4 s 9; art 5 s 6; L 2019 1Sp9 art 4 s 30
Minn. R. 9549.0061 [Repealed, L 2014 c 262 art 4 s 9]
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0070 Repealed by subpart
Subpart 1.
[Repealed, L 2014 c 262 art 4 s 9]
Subp. 2.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 3.
[Repealed, L 2016 c 99 art 1 s 43]
Subp. 4.
[Repealed, L 2014 c 262 art 4 s 9]
Minn. R. 9549.0080 Appeal Procedures
Subpart 1. Scope of appeals.
A decision by the commissioner may be appealed by the nursing facility or a county welfare or human services board where all of the following conditions are met:
A. The appeal, if successful, would result in a change in the nursing facility's total payment rate.
B. The appeal arises from application of the provisions of parts 9549.0010 to 9549.0080, or 12 MCAR SS 2.05001-2.05016 [Temporary], or parts 9510.0010 to 9510.0480.
C. The dispute over the decision is not resolved informally between the commissioner and the appealing party within 30 days of filing the written notice of intent to appeal under subpart 2, item A.
Subp. 2. Filing of appeal.
To be effective, an appeal must meet the following criteria:
A. The nursing facility must notify the commissioner of its intent to appeal in writing within 30 days of receiving the payment rate determination or decision which is being appealed. The written appeal must be filed within 60 days of receiving the payment rate determination or decision being disputed.
B. The appeal must specify:
Subp. 3. Resolution of appeal.
The appeal must be heard according to the contested case provisions in Minnesota Statutes, chapter 14, and the rules of the Office of Administrative Hearings. Upon agreement of both parties, the dispute may be resolved informally through settlement or through modified appeal procedures established by agreement between the commissioner and the chief administrative law judge.
Subp. 4. Payment rate during appeal period.
Notwithstanding any appeal filed under parts 9549.0010 to 9549.0080, the total payment rate established by the commissioner shall be the rate paid to the nursing facility while the appeal is pending. A nursing facility appealing under this part is subject to the limitation in part 9549.0070, subpart 2 pending resolution of the appeal. The nursing facility must give private paying residents notice, as required by Minnesota Statutes, section 256B.47, subdivision 2, of the total payment rate established by the commissioner that will be charged pending appeal. The nursing facility may give private paying residents notice, as required by Minnesota Statutes, section 256B.47, subdivision 2, of the total payment rate that will be charged if the nursing facility prevails in the appeal. If notice is given and the nursing facility prevails in the appeal, the nursing facility may adjust the private payment rate retroactive to the first day of the period covered by the appeal or to the 31st day after giving the notice, whichever is later.
Subp. 5. Payments after resolution of appeal.
Upon resolution of the appeal, any overpayments or underpayments must be made according to part 9549.0070.
History
- Statutory Authority: MS s 256B.41 to 256B.502
- History: 9 SR 2659; L 1992 c 513 art 7 s 136
Chapter 9550 GENERAL ADMINISTRATION OF SOCIAL SERVICES
Minn. R. 9550.0010 Repealed by subpart
Subpart 1.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 2.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 2a.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 3.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 4.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 5.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 6.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 7.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 8.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 9.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 10.
[Repealed, 20 SR 2427; L 2003 1Sp14 art 11 s 12]
Subp. 11.
[Repealed, 20 SR 242; L 2003 1Sp14 art 11 s 12]
Subp. 12.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 13.
[Repealed, 20 SR 2427; L 2003 1Sp14 art 11 s 12]
Subp. 13a.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 14.
[Repealed, L 2003 1SP14 art 11 s 12]
Subp. 14a.
[Repealed, L 2003 1SP14 art 11 s 12]
Subp. 15.
[Repealed, L 2003 1SP14 art 11 s 12]
Subp. 16.
[Repealed, 20 SR 2427; L 2003 1SP14 art 11 s 12]
Subp. 17.
[Repealed, L 2003 1SP14 art 11 s 12]
Subp. 18.
[Repealed, L 2003 1SP14 art 11 s 12]
Subp. 19.
[Repealed, L 2003 1SP14 art 11 s 12]
Subp. 20.
[Repealed, 20 SR 2427; L 2003 1SP14 art 11 s 12]
Subp. 21.
[Repealed, 20 SR 2427; L 2003 1SP14 art 11 s 12]
Minn. R. 9550.0020 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0030 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0040 Repealed by subpart
Subpart 1.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 2.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 3.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 4.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 5.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 6.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 7.
[Repealed, 20 SR 2427; L 2003 1Sp14 art 11 s 12]
Subp. 7a.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 8.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 9.
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0050 Repealed by subpart
Subpart 1.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 2.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 3.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 4.
[Repealed, 20 SR 2427; L 2003 1Sp14 art 11 s 12]
Subp. 5.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 6.
[Repealed, L 2003 1Sp14 art 11 s 12]
Subp. 7.
[Repealed, 20 SR 2427; L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0060 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0070 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0080 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0090 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0091 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0092 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0093 [Repealed, L 2003 1Sp14 art 11 s 12]
[Repealed, L 2003 1Sp14 art 11 s 12]
Minn. R. 9550.0100 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.0200 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.0300 MR 1985 [Repealed, 10 SR 1502]
MR 1985 [Repealed, 10 SR 1502]
History
- Statutory Authority: MS s 256.01; 256.011; 393.07
- History: 12 SR 827
Minn. R. 9550.0310 Definitions
Subpart 1. Scope.
For the purpose of parts 9550.0300 to 9550.0370, the following terms have the meanings given them.
Subp. 2. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's designated representative.
Subp. 3. County board.
"County board" means the county board of commissioners in each county. When a human services board or welfare board has been established under Minnesota Statutes, sections 402.02 to 402.10, it shall be considered to be the county board for the purposes of parts 9550.0300 to 9550.0370.
Subp. 4. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 5. Local agency.
"Local agency" means the social services agency authorized by the county board to provide community social services.
Subp. 6. Social service cost pool.
"Social service cost pool" means all direct and indirect costs incurred by local agencies in providing community social services, except costs that are not allocated through the use of the social service time study.
Subp. 7. Social service time study.
"Social service time study" means the study conducted by the department that measures the portion of local agency staff time spent on various social service activities for the purpose of determining the percentage of administrative costs attributable to social service expenditures that are federally reimbursable.
Subp. 8. Substitute care.
"Substitute care" means placement in a group home, family foster home, or other publicly supported out-of-home residential facility, including any out-of-home residential facility under contract with the state, county, other political subdivision, or any of their agencies, to provide those services.
Subp. 9. Title IV-E.
"Title IV-E" means the federal program that reimburses administrative and training costs incurred in providing services under Public Law 96-272 as amended through June 17, 1980.
Subp. 10. Title IV-E money.
"Title IV-E money" means the federal dollars claimed and received by the department as reimbursement for administrative and training costs incurred by the local agencies under Title IV-E.
Subp. 11. Title XIX.
"Title XIX" means the federal program that reimburses the costs incurred in providing health care to eligible persons under United States Code, title 42, sections 1396 to 1396p.
Subp. 12. Title XIX money.
"Title XIX money" means the federal dollars claimed and received by the department under Title XIX as reimbursement for administrative costs incurred by the local agencies in providing social services to medical assistance program recipients.
History
- Statutory Authority: MS s 256.01; 256.011; 393.07
- History: 12 SR 827; L 2003 1Sp14 art 11 s 11
Minn. R. 9550.0320 Title Iv-E Reimbursement
The following equation shall be used to calculate the local agency's share of the Title IV-E money received by the department each quarter of the federal fiscal year:
where:
Ai = the ith local agency's share of Title IV-E money received by the department
B = the total amount of Title IV-E money received by the department to be distributed for the quarter
Ci = the social service cost pool reported by the ith local agency during the quarter
Di = the average monthly number of IV-E eligible children on the ith local agency's caseload for the quarter
Ei = the average monthly number of children in substitute care on the ith local agency's caseload for the quarter
F = a stabilizing factor, equal to the statewide ratio of children eligible under Title IV-E to all children in substitute care, multiplied by ten
History
- Statutory Authority: MS s 256.01; 256.011; 393.07
- History: 12 SR 827
Minn. R. 9550.0330 Title Xix Reimbursement
The following equation shall be used to calculate the local agency's share of the Title XIX money received by the department:
where:
Ai = the ith local agency's share of the Title XIX money to be distributed by the department
B = the total amount of Title XIX money received for distribution by the department
Ci = the social service cost pool reported by the ith local agency for the quarter
Di = the average monthly number of persons receiving medical assistance in the ith local agency during the quarter for whom the local agency is financially responsible
History
- Statutory Authority: MS s 256.01; 256.011; 393.07
- History: 12 SR 827
Minn. R. 9550.0340 Reporting Requirements
Subpart 1. Information required.
To receive reimbursement under parts 9550.0300 to 9550.0370, the local agency must:
A. provide the information required by the department to conduct the social service time studies on which the state's federal reimbursement claims for administrative costs under Title IV-E and Title XIX are based; and
B. submit quarterly reports to the department no later than 20 calendar days after the end of the quarter on forms specified by the commissioner. The quarterly reports must provide the information needed to make the calculations specified in parts 9550.0320 and 9550.0330, including:
Subp. 2. Penalty.
A local agency shall not receive its Title IV-E or Title XIX reimbursement until the agency has provided the information required under subpart 1. If the local agency does not meet the reporting requirements of subpart 1, the commissioner shall send a written notice of noncompliance to the local agency. If a local agency does not comply with subpart 1 within 30 days of the date written notice was sent, the commissioner shall certify a reduction in the local agency's reimbursement by 20 percent for the quarter of noncompliance. Money received or retained by the department as a result of the penalty must be distributed to all local agencies that were not penalized. The percentage of penalty money received by each local agency must be equal to the percentage of Title IV-E money received by the local agency for the quarter.
History
- Statutory Authority: MS s 256.01; 256.011; 393.07
- History: 12 SR 827; L 2003 1Sp14 art 11 s 11
Minn. R. 9550.0350 Disallowances
Any disallowances due to audits of federal claims for administrative reimbursement must be shared by all local agencies. A local agency's percentage share of a disallowance must be equal to the percentage of the federal administrative reimbursement received by the local agency for the quarter and program to which the disallowance applies. The commissioner shall notify each county of the action to be taken and the reasons for the action.
History
- Statutory Authority: MS s 256.01; 256.011; 393.07
- History: 12 SR 827
Minn. R. 9550.0360 Hold Harmless Clause
Subpart 1. Effect.
For the federal fiscal year 1986, each county shall receive as reimbursement under part 9550.0320 no less than the amount of Title IV-E reimbursement received by the county as of April 1, 1987, for federal fiscal year 1985. The funds needed to satisfy the requirements of this part must be obtained by deducting an equal percentage from the federal fiscal year 1986 Title IV-E allocation to each local agency that did not submit a Title IV-E claim in federal fiscal year 1985.
Subp. 2. Applicability.
This part applies only to allocations for federal fiscal year 1986.
History
- Statutory Authority: MS s 256.01; 256.011; 393.07
- History: 12 SR 827
Minn. R. 9550.0370 Prior Period Adjustment
Subpart 1. Prior adjustments permitted.
A local agency may provide the department with amended reports to correct inaccuracies in data provided for previous quarters. Additional federal revenue obtained as a result of corrections in data for previous quarters must be distributed to all local agencies in accordance with the formulas in parts 9550.0320 and 9550.0330. Any money owed to the federal government because of amended local agency reports under this part must be billed to all local agencies in accordance with the formulas in parts 9550.0320 and 9550.0330.
Subp. 2. Limitation on prior adjustments.
An amended report must be received by the department no later than 12 months after the reporting deadline for the quarter being amended.
History
- Statutory Authority: MS s 256.01; 256.011; 393.07
- History: 12 SR 827
Minn. R. 9550.0400 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.0500 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.0600 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.0700 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.0800 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.0900 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1000 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1100 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1200 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1300 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1400 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1500 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1600 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1700 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1800 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.1900 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2000 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2100 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2200 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2300 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2400 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2500 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2600 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2700 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2800 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.2900 [Repealed, 10 SR 1502]
[Repealed, 10 SR 1502]
Minn. R. 9550.4100 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.4200 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.4300 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.4400 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.4500 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.4600 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.4700 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.4800 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.4900 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.5000 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.5100 [Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
[Repealed, L 1985 1Sp14 art 9 s 78 subd 1]
Minn. R. 9550.6200 Scope
Subpart 1. Applicability.
Parts 9550.6200 to 9550.6240 govern the assessment and collection of parental fees by county boards or the Department of Human Services from parents of children in 24-hour care outside the home, including respite care, in a facility licensed by the commissioner, who:
A. have a developmental disability;
B. have an emotional disturbance;
C. have a physical disability; or
D. are in a state facility. Parts 9550.6200 to 9550.6240 also specify parental responsibility for the cost of services of children who are not specified in items A to D, who are living in or out of their parents' home, and whose eligibility for medical assistance was determined without considering parental resources or income as specified in Minnesota Statutes, section 256B.14, subdivision 2.
Subp. 2. Exclusion.
Children who are under court order and subject to Minnesota Statutes, section 260B.331, subdivision 1, or 260C.331, subdivision 1, and who also do not fall under the provisions of Minnesota Statutes, section 252.27, are excluded from the scope of parts 9550.6200 to 9550.6240.
Parents of a minor child identified in subpart 1 must contribute monthly to the cost of services unless the child is married or has been married, parental rights have been terminated, or the child's adoption is subsidized according to Minnesota Statutes, section 259.67, or through title IV-E of the Social Security Act, or the parents are determined not to owe a fee under the formula in Minnesota Statutes, section 252.27, subdivision 2a.
History
- Statutory Authority: MS s 246.511; 252.27; 256B.14
- History: 10 SR 2005; 16 SR 2780; L 1994 c 631 s 31; L 1999 c 139 art 4 s 2; L 2005 c 56 s 2; 32 SR 565
Minn. R. 9550.6210 Definitions
Subpart 1. Applicability.
As used in parts 9550.6200 to 9550.6240, the following terms have the meanings given them.
Subp. 2. Child or children.
"Child" or "children" means a person or persons under 18 years of age.
Subp. 3. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designated representative.
Subp. 4. Cost of services.
"Cost of services" means the cost for:
A. the per diem rate established by the department or the per diem and negotiated monthly rate adopted by the county board for the 24-hour care outside the home, treatment, and training of a child provided in a facility licensed by the Department of Health, Department of Human Services, or approved by the commissioner according to the interstate placement compacts of Minnesota Statutes, sections 245.51 to 245.53, 260.52 to 260.57, and 260.851 to 260.91; and
B. services to children whose eligibility for medical assistance was determined without consideration of parental income or assets as specified in part 9550.6200, subpart 1.
Subp. 5. County board.
"County board" means the county board of commissioners in each county. When a Human Services Board has been established under Minnesota Statutes, sections 402.02 to 402.10, it shall be considered to be the county board for purposes of parts 9550.6200 to 9550.6240.
Subp. 6. County of financial responsibility.
"County of financial responsibility" has the meaning given it in Minnesota Statutes, section 256G.02, subdivision 4.
Subp. 7. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 8. Emotional disability or emotional disturbance.
"Emotional disability" or "emotional disturbance" has the meaning given it in Minnesota Statutes, section 245.4871, subdivision 15.
Subp. 9. Income.
"Income" means the adjusted gross income of the natural or adoptive parents determined according to the previous year's federal tax form as specified in Minnesota Statutes, section 252.27, subdivision 2a, paragraph (d), or a verified statement of the adjusted gross income if no tax forms are available.
Subp. 10. Medical assistance.
"Medical assistance" means the program which provides for the health service needs of eligible clients, as specified in Minnesota Statutes, chapter 256B, and title XIX of the Social Security Act, United States Code, title 42, section 1396.
Subp. 11. Developmental disability.
"Developmental disability" has the meaning of "developmental disability" under part 9525.0016, subpart 2, and the meaning of "related condition" given in Minnesota Statutes, section 252.27, subdivision 1a.
Subp. 12. Parents.
"Parents" means the natural or adoptive parents.
Subp. 13. Physical disability.
"Physical disability" has the meaning given it in part 9570.2200, subpart 7.
Subp. 13a. Respite care.
"Respite care" means short-term supervision and care provided to a child due to temporary absence or need for relief of the child's parents. Respite care may include day, overnight, in-home, or out-of-home services, as needed.
Subp. 14.
[Repealed, 16 SR 2780]
Subp. 15. Severe emotional disturbance.
"Severe emotional disturbance" means an emotional disturbance that has:
A. resulted in the child's admission within the last three years or the child's being at risk of admission to inpatient treatment or residential treatment for an emotional disturbance;
B. required the child to receive inpatient treatment or residential treatment for an emotional disturbance as a Minnesota resident through the interstate compact; or
C. resulted in a determination by a mental health professional that the child has one of the following conditions:
Subp. 16. State facility.
"State facility" means any facility owned or operated by the state of Minnesota that is under the programmatic direction or fiscal control of the commissioner. State facility includes regional treatment centers; the state nursing homes; state-operated community-based programs; and other facilities owned or operated by the state and under the commissioner's control.
History
- Statutory Authority: MS s 246.511; 252.27; 256B.092; 256B.14
- History: 10 SR 2005; 12 SR 102; L 1987 c 403 art 3 s 96; 16 SR 2780; 18 SR 2244; L 1999 c 139 art 4 s 2; L 2005 c 56 s 2
Minn. R. 9550.6220 Determination of Parental Fee
Subpart 1. Parental responsibility.
The extent to which parents are responsible for reimbursing the county of financial responsibility or the department for the cost of services must be determined according to subparts 2 to 13. Parents have no obligation to contribute assets. The parental responsibility and the role of the agency responsible for collection of the parental fee shall be explained in writing to the parents at the time eligibility for services is being determined. The parental fee shall be retroactive to the first date covered services are received, including any services received in months of retroactive eligibility.
Subp. 2. Determination of household size.
Natural and adoptive parents and their dependents, as specified in Minnesota Statutes, section 290A.03, subdivision 7, including the child receiving services, shall be counted as members of the household when determining the fee, except that a stepparent shall not be included.
Subp. 3. Determination of income.
Income must be determined according to Minnesota Statutes, section 252.27, subdivision 2a, paragraph (d).
Subp. 4. Percentage schedule.
The parental fee shall be computed according to the formula specified in Minnesota Statutes, section 252.27, subdivision 2a, paragraph (b).
Subp. 5. Annual revision of federal poverty guidelines.
The parental fee shall be revised annually on July 1 to reflect changes in the federal poverty guidelines. The revised guidelines are effective on the first day of July following the publication of changes in the Federal Register.
Subp. 5a.
[Repealed, 33 SR 1107]
Subp. 6.
[Repealed, 33 SR 1107]
Subp. 7.
[Repealed, 16 SR 2780]
Subp. 8.
[Repealed, 16 SR 2780]
Subp. 9. Parental responsibility for clothing or personal needs.
Payment of the parental fee does not exempt the parents from responsibility for the child's clothing and personal needs not included in the cost of services, except as specified in Minnesota Statutes, section 256B.35, subdivision 1.
Subp. 10. Discharge.
Except as provided in subpart 10a, the full monthly parental fee must be assessed unless services are terminated before the end of a calendar month. In this case, the full fee must be reduced only if the actual cost of services during that month is less than the regular fee.
Subp. 10a. Parental fee for respite care.
When a child is receiving respite care services, the parental fee must be a per diem fee multiplied by the number of days the child receives respite care. The parental fee for respite care shall be used only when respite care is the single service the child is receiving. When the child is receiving additional services governed by parts 9550.6200 to 9550.6240, the parental fee determined under part 9550.6220 shall apply. The per diem fee must be determined in the following manner:
A. Household size must be determined as specified in subpart 2.
B. Income must be determined as specified in subpart 3.
C. Using the household size and income figures in items A and B, the percentage schedule in Minnesota Statutes, section 252.27, subdivision 2a, paragraph (b), must be used to determine the applicable percent to be applied to the parents' income.
D. Determine the per diem fee by multiplying the income from item B by the percent from item C and divide the product by 365.
E. Any part of a day spent in respite care must be counted as a full day for purposes of this fee.
F. The parental fee must be determined at the end of a month when respite care is used.
Subp. 11. Number of fees.
As specified in Minnesota Statutes, section 252.27, subdivision 2, parents who have more than one child receiving services who meet the criteria identified in part 9550.6200, subpart 1, shall not be required to pay more than the amount for the child with the highest expenditures.
Subp. 12. Parents not living with each other.
Parents of a minor child who do not live with each other as specified in Minnesota Statutes, section 252.27, subdivision 2a, paragraph (g), shall each pay a fee.
Subp. 13. Child support payments.
A court-ordered child support payment actually paid on behalf of the child receiving services shall reduce the fee of the parent making the payment.
Subp. 14. Fees in excess of cost.
The total amount parents must pay between the time the first monthly payment is due under either the initial determination of the fee amount or notice of an increase in the fee amount, and the end of the state's fiscal year in June of each year cannot be higher than the cost of services the child receives during the fiscal year. At the end of each state fiscal year, the department or county board shall review the total amount that the parent paid in fees during the fiscal year and the total cost of services paid by the department or county board, not including payments made to school districts for medical services identified in an individualized education program and covered under the medical assistance state plan, that the child received during the fiscal year. If the total amount of fees paid by the parents exceeds the total cost of services, the department or county board shall: (1) reimburse the parents the excess amount if their child is no longer receiving services; or (2) apply the excess amount to parental fees due starting July 1 of that year, until the excess amount is exhausted.
History
- Statutory Authority: MS s 14.388; 246.511; 252.27; 256B.14
- History: 10 SR 2005; 12 SR 102; 16 SR 2780; 33 SR 1107; L 2011 1Sp11 art 3 s 12
Minn. R. 9550.6225 Health Insurance Benefits
The parental fee determined under part 9550.6220 shall be increased by an additional five percent if the department or local agency determines that insurance coverage is available to the parents, but not obtained for the child receiving services. For purposes of this part, "available" and "insurance" have following meanings.
A. "Available" means the insurance is a benefit of employment for a family member at an annual cost of no more than five percent of the family's annual income.
B. "Insurance" means health and accident insurance coverage, enrollment in a nonprofit health service plan, health maintenance organization, self-insured plan, or preferred provider organization.
History
- Statutory Authority: MS s 246.511; 252.27; 256B.14
- History: 10 SR 2005; 16 SR 2780
Minn. R. 9550.6226 Responsibility of Parents to Cooperate
Subpart 1. Request for information.
The department or county board shall send the parents a form describing:
A. the formula used to determine the fee;
B. how to obtain information on possible variances from the fee amount;
C. information on the circumstances under which a fee may be reviewed or redetermined;
D. the right to appeal a fee determination; and
E. the consequences for not complying with a request to provide information when a request for information is sent in the following instances:
Subp. 2. Determination of parental fees.
Parents shall attach to the form requesting financial information, a copy of their previous year's federal income tax return or a verified statement concerning their income if no federal income tax form is available. Failure or refusal by the parents to provide to the department or county board within 30 calendar days after the date the request is postmarked, the financial information needed to determine parental responsibility for a fee shall result in notification to the parents that the department or county board may institute civil action to recover the required reimbursement under Minnesota Statutes, sections 252.27, subdivision 3, and 256B.14, subdivision 2.
Subp. 3. Review and redetermination of parental fees.
When parents are requesting a review or redetermination of the fee under part 9550.6228, a request for information shall be sent to the parents within ten calendar days after the department or county board receives the parents' request for review. Parents shall:
A. notify the department or county board within 30 calendar days of a gain in income or a loss of a household member; and
B. provide to the department or county board all information required under part 9550.6228, subpart 3, to verify the need for redetermination of the fee. No action shall be taken on a review or redetermination of the parental fee until the required information is received by the department or county board.
Subp. 4. Variance requests.
No action shall be taken by the department or county board on a request for a variance until the department or county board receives all information required under part 9550.6230. Failure of the parents to cooperate by completing and returning the form requesting parental information to the department or county board within 30 calendar days after the date the request is postmarked, will result in a final written notice to the parents stating that the request for a variance will be denied unless the parents complete and return this information within ten calendar days after the date this final notice is postmarked.
Subp. 5. Refusal or failure to pay.
If the parents refuse or fail to pay the fee as determined under parts 9550.6200 to 9550.6240, the department or county board may institute civil action to enforce payment of the required amount when the action is cost-effective.
History
- Statutory Authority: MS s 252.27; 256B.14
- History: 16 SR 2780
Minn. R. 9550.6228 Review and Redetermination of Fees
Subpart 1. Review.
Parental fees must be reviewed by the county board or the department according to Minnesota Statutes, section 252.27, subdivision 2a, paragraph (f), in any of the following situations:
A. at least once every 12 months;
B. when there is a change in household size as specified in part 9550.6220, subpart 2;
C. when the department or county billing records, on the history of service use, indicate a disparity between the fee amount and the cost of services provided of 60 percent or more; or
D. when there is a loss of or gain in income from one month to another in excess of ten percent. For self-employed individuals, the following conditions shall apply to the verification of loss or gain of income under item D:
Subp. 2.
[Repealed, 16 SR 2780]
Subp. 3. Procedures for review.
In reviewing the parental fees under this part, the department or county board shall use the following procedures:
A. The annual review of parental fees under subpart 1, item A, shall be done according to procedures in part 9550.6220, subpart 14.
B. The review of parental fees under subpart 1, item B, shall be done within ten calendar days after the department or county board receives a copy of the record of birth or other supporting documents as verification of the change in household size.
C. The review of parental fees under subpart 1, item C, shall consist of a review of historical department or county billing records. Parents whose fee is adjusted under subpart 1, item C, shall sign a written agreement in which the parents agree to report to the department or county board any increase in the amount of services provided and to make up any shortfall at the end of the fiscal year based upon the increase in the amount of services provided.
D. The review of parental fees under subpart 1, item D, shall be done within ten calendar days after the department or county board receives completed information that verifies a loss or gain in income in excess of ten percent.
History
- Statutory Authority: MS s 246.511; 252.27; 256B.14
- History: 10 SR 2005; 16 SR 2780; L 2001 1Sp9 art 15 s 32
Minn. R. 9550.6229 Notification of Change in Fee
Subpart 1. Increase in fee.
Notice of an increase in the parental fee amount shall be mailed by the department or county board to the parents of children currently receiving services, 30 calendar days before the increased fee is effective. An increase in the parental fee is effective in the month in which the decrease in household size or increase in parental income occurs for parents who fail to comply with part 9550.6226, subpart 3.
Subp. 2. Decrease in fee.
A decrease in the parental fee is effective in the month that the parents verify a reduction in income or a change in household size occurred, retroactive to no earlier than the beginning of the current fiscal year.
History
- Statutory Authority: MS s 246.511; 252.27; 256B.14
- History: 10 SR 2005; 16 SR 2780
Minn. R. 9550.6230 Variance for Undue Hardship
Subpart 1. Definition; limitations on variance.
For purposes of this part, "variance" means any modification of the parental fee as determined by Minnesota Statutes, section 252.27, subdivision 2a, when it is determined that strict enforcement of the parental fee would cause undue hardship. All variances shall be granted for a term not to exceed 12 months, unless otherwise determined by the department or county board. The parents' liability to pay under Minnesota Statutes, section 252.27, subdivision 2a, shall be modified only by the provisions in subparts 1a and 2.
Subp. 1a. Variance for undue hardship.
A variance of the parental fee determined according to Minnesota Statutes, section 252.27, subdivision 2a, and parts 9550.6220 to 9550.6240 may be requested when expenditures for items A through D are made by the parents and the expenditures are not reimbursable by any public or private source. Each expenditure may be the basis for a variance only one time. The total amount of items A, B, C, and D shall be deducted from income as defined in part 9550.6210, subpart 9.
A. Payments made since the last review of the fee or within the last 12 months for medical expenditures for the child receiving services or for that child's parents and parents' other dependents when the medical expenditures are not covered by medical assistance or health insurance and are a type, irrespective of amount, which would be allowable as a federal tax deduction under the Internal Revenue Code.
B. Expenditures since the last review of the fee or within the last 12 months for adaptations to the parents' vehicle which are necessary to accommodate the child's medical needs and are a type, irrespective of amount, which would be allowable as a federal tax deduction under the Internal Revenue Code.
C. Expenditures since the last review of the fee or within the last 12 months for physical adaptations to the child's home which are necessary to accommodate the child's physical, behavioral, or sensory needs and are a type, irrespective of amount, that would be allowable as a deductible medical expense under the Internal Revenue Code. A variance for physical adaptations to the child's home will be granted only for that portion of the adaptation that does not increase the value of the property.
D. Unexpected, sudden, or unusual expenditures by the parents since the last review or within the past 12 months that are not reimbursed by any type of insurance or civil action and which are a type, irrespective of amount, which would be allowable as a casualty loss deduction under the Internal Revenue Code.
Subp. 2. Variance for tax status.
A variance shall be granted, in the form of a deduction from income, as defined in part 9550.6210, subpart 9, if the parents can show that, as a result of the parents' peculiar tax status, there is a gross disparity between the amount of income, as defined in part 9550.6210, subpart 9, allocated to the parents and the amount of the cash distributions made to the parents.
A. The disparity must adversely affect the parents' actual ability to pay.
B. A variance shall not be granted in cases where the tax status was created in whole or in part for the purpose of avoiding liability under parts 9550.6200 to 9550.6240.
C. Income to be deducted under this subpart shall be deducted only if:
D. A variance granted under this subpart shall only be made on the recommendation of the department or county board according to subpart 5.
E. Parents who are granted a variance under this subpart must sign a written agreement in which the parents agree to report any change in the circumstances which gave rise to the tax status variance, such as an increased distribution, a sale, transfer, or any other transaction affecting the parents' ability to pay within 30 days of that change.
Subp. 3. Exceptions.
The following expenses shall not be considered to constitute undue hardship and shall not reduce the parental fee or income as defined in part 9550.6210, subpart 9:
A. new home purchases, other than that portion of the cost of a new home that is directly attributable to the physical, behavioral, or sensory needs of the child receiving services and that is a type, irrespective of amount, which would be allowable as a deductible medical expense under the Internal Revenue Code;
B. college education expenses;
C. clothing and personal expenses, other than expenses allowed in subpart 1a such as specialized clothing needed by the child receiving services due to their disability; or
D. any expenditures that are usual and typical, other than those which are allowable under subpart 1a.
Subp. 4. Procedures for requesting a variance.
Parents may request a variance from parts 9550.6200 to 9550.6240 by submitting a written request to the department or county board that states why compliance with parts 9550.6200 to 9550.6240 would cause undue hardship.
The department or county board shall forward to the parents a request for financial information within ten calendar days after receiving a written request for a variance. Parents must provide the department or county board with the requested financial information, including the previous year's tax forms, and verification of any physical adaptations to the home or vehicle, medical expenditures, casualty losses, or peculiar tax status. The information supplied must be sufficient to verify the existence of undue hardship necessitating a variance. Parents must cooperate by completing and returning all information requested by the department or the county board as necessary to determine or review the parental fee. If parents fail to cooperate by providing this required information, part 9550.6226, subpart 4, applies.
Subp. 5. Department and county authority to grant variances.
A. The commissioner shall delegate to the county board the authority to grant variances according to parts 9550.6200 to 9550.6240 for children in 24-hour care outside the home, other than a state facility, where only social services funds are expended for the cost of services.
B. The department shall grant variances according to parts 9550.6200 to 9550.6240 for parents of children who have a developmental disability, a severe emotional disturbance, or a physical disability and who are:
Subp. 6. Payment pending determination of variance request.
Those parents requesting a variance from a notice of an increase in the amount of the parental fee shall continue to make monthly payments at the lower amount pending determination of the variance request. Those parents requesting a variance from an initial determination of the parental fee amount shall not be required to make payment pending determination of the variance request. However, these parents may make payments as desired during the determination. If the variance is granted, any payments made pending outcome of the request that result in overpayment, shall be: (1) reimbursed to the parents if the child is no longer receiving services; or (2) applied to the parental fees remaining in the current fiscal year and the remainder of the excess amount applied to the parental fees due starting in the next fiscal year, if the child is still receiving services. If the variance is denied, the parents shall pay to the department or county board:
A. the additional amount due from the effective date of the increase in the parental fee; or
B. the total amount due from the effective date of the original notice of determination of the parental fee as specified in part 9550.6235, subpart 3.
Subp. 7. Insurance settlements; settlements in civil actions.
Parents who are granted a variance under subpart 1a, item D, shall sign a written agreement in which the parents agree to report to the department or the county board any changes in circumstances that gave rise to the undue hardship variance, such as subsequent payment by the insurer on a medical or casualty claim or receipt of settlement in a civil action. Failure by the parents to sign this agreement will result in denial of the variance. The variance shall terminate or be adjusted effective on the date of the parents' receipt of any such settlement.
Subp. 8. Grant or denial of variance.
When the department or county board receives a request for a variance, written notice of a grant or denial of the variance shall be mailed to the parents within 30 calendar days after the department or county board receives the financial information required under subpart 4. A grant will necessitate a written agreement between the parents and the department or county board with regard to the specific terms of the variance. The variance will not become effective until the written agreement is signed by the parents. If the department or the county board denies in whole or in part the parents' request for a variance, the denial notice shall set forth in writing the reasons for the denial that address the specific hardship raised by the parents and of the parents' right to appeal under part 9550.6235.
History
- Statutory Authority: MS s 246.511; 252.27; 256B.14
- History: 10 SR 2005; 16 SR 2780; L 2005 c 56 s 2
Minn. R. 9550.6235 Appeals
Subpart 1. Right of appeal.
Parents aggrieved by an action under parts 9550.6200 to 9550.6240 have the right to appeal according to Minnesota Statutes, section 256.045.
Subp. 2. Appeal process.
Parents may appeal an action under parts 9550.6200 to 9550.6240 by submitting a written request for a hearing to the department within 30 calendar days after the aggrieved action, or within 90 calendar days if an appeals referee finds that the parents have good cause for failing to request a hearing within 30 calendar days. The hearing is governed by Minnesota Statutes, section 256.045.
Subp. 3. Rights pending hearing.
If parents appeal on or before the effective date of the increase in the parental fee, the parents shall continue to make payments to the department or the county board in the lower amount while the appeal is pending. Parents appealing an initial determination of a parental fee shall not be required to make monthly payments pending an appeal decision. However, parents may continue to make monthly payments as desired during the appeal process. Any payments made that result in an overpayment shall be: (1) reimbursed to the parents if their child is no longer receiving services; or (2) applied to the parental fees remaining in the current fiscal year and the remainder of the excess amount applied to the parental fees due starting in the next fiscal year.
If the department's or county board's determination is affirmed, the parents shall pay to the department or the county board, within 90 calendar days after the date of the order, the total amount due from the effective date of the original notice of determination of the parental fee. The commissioner's order is binding on the parents and the department or county board and shall be implemented subject to Minnesota Statutes, section 256.045, subdivision 7. No additional notice is required to enforce the commissioner's order.
History
- Statutory Authority: MS s 252.27; 256B.14
- History: 16 SR 2780
Minn. R. 9550.6240 Collections
Subpart 1. County responsibility.
The county board shall be responsible for the assessment and collection of parental fees for children in 24-hour care outside the home other than state facilities, where only social services funds are expended for the cost of services.
Subp. 2. Department responsibility.
The department shall be responsible for the assessment and collection of fees for children who have developmental disabilities, a severe emotional disturbance, or a physical disability and who are:
A. residing in state facilities;
B. residing outside the home when medical assistance funds are expended for the cost of services;
C. residing outside the home when both medical assistance and social services funds are expended for the costs of services; and
D. determined eligible for medical assistance without consideration of parental income or assets. If the parental fee is for reimbursement for the cost of services to both the local agency and medical assistance, the department shall reimburse the local agency for its expenses first and the remainder shall be reimbursed to the medical assistance account.
History
- Statutory Authority: MS s 246.511; 252.27; 256B.14
- History: 10 SR 2005; 16 SR 2780; L 2005 c 56 s 2
Chapter 9553 PAYMENT; INTERMEDIATE CARE FACILITIES
Minn. R. 9553.0010 Scope
Parts 9553.0010 to 9553.0080 establish procedures for determining the total payment rates for all ICF/DDs participating in the medical assistance program, except intermediate care facilities in state owned hospitals as defined in Minnesota Statutes, section 246.50, subdivision 5. Parts 9553.0010 to 9553.0080 are effective for payment rates established on or after January 1, 1986.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; 12 SR 1148; L 2005 c 56 s 2
Minn. R. 9553.0020 Definitions
Subpart 1. Applicability.
For the purposes of parts 9553.0010 to 9553.0080, the following terms have the meanings given them in this part.
Subp. 2. Addition.
"Addition" means an extension, enlargement, or expansion of the physical plant of an ICF/DD for the purpose of increasing the number of licensed beds or improving resident care.
Subp. 3. Applicable credit.
"Applicable credit" means a receipt of funds or an expense reduction as a result of public grants, purchase discounts, allowances, rebates, refunds, adjustments for overcharges, insurance claims settlements, recovered bad debts, or any other adjustment or income which reduce the costs claimed by the facility.
Subp. 4. Capacity days.
"Capacity days" means the total number of licensed beds in the facility multiplied by the number of days in the reporting year.
Subp. 5. Capital assets.
"Capital assets" means a facility's land, physical plant, land improvements, depreciable equipment, leasehold improvements, capitalized improvements and repairs, and all additions to or replacements of those assets.
Subp. 6. Capital debt.
"Capital debt" means a debt incurred by the facility for the purpose of purchasing a capital asset, to the extent that the proceeds of the debt were actually applied to purchase the capital asset including points, financing charges, and bond premiums or discounts. Capital debt includes debt incurred for the purpose of refinancing a capital debt.
Subp. 7. Capital debt interest expense.
"Capital debt interest expense" means interest payable under the terms of a capital debt, amortization of a bond premium or discount, and amortization of financing charges.
Subp. 8. Class A beds.
"Class A beds" means beds licensed for ambulatory and mobile persons who are capable of taking appropriate action for self-preservation under emergency conditions as determined by part 4665.0500 or 9525.0210 to 9525.0430.
Subp. 9. Class B beds.
"Class B beds" means beds for ambulatory, nonambulatory, mobile, or nonmobile persons who are not mentally or physically capable of taking appropriate action for self-preservation under emergency conditions as determined by part 4665.0500 or parts 9525.0210 to 9525.0430.
Subp. 10. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services.
Subp. 11. Cost categories.
"Cost categories" means any one of the groupings of costs in part 9553.0040, subparts 1 to 6.
Subp. 12. Cost report.
"Cost report" means the document and supporting materials specified by the commissioner and submitted by the provider for the facility. The cost report includes the statistical, financial, and other relevant information required in part 9553.0041 for the rate determination.
Subp. 13. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 14. Depreciable equipment.
"Depreciable equipment" means the standard movable resident care equipment and support service equipment generally used in an ICF/DD. Depreciable equipment includes the equipment specified in the major movable equipment table of the depreciation guidelines.
Subp. 15. Depreciation guidelines.
"Depreciation guidelines" means The Estimated Useful Lives of Depreciable Hospital Assets, issued by the American Hospital Association, 840 North Lake Shore Drive, Chicago, Illinois 60611 (Chicago: 1983). The depreciation guidelines are incorporated by reference and are available for reference at the Minnesota State Law Library, 25 Rev. Dr. Martin Luther King Jr. Blvd., Saint Paul, Minnesota 55155. Only the 1983 publication will be used and will not change.
Subp. 16. Desk audit.
"Desk audit" means the determination of the facility's payment rate based on the commissioner's review and analysis of required reports, supporting documentation, and work sheets submitted by the provider.
Subp. 17. Direct cost.
"Direct cost" means a cost that can be identified within a specific cost category without the use of allocation methods.
Subp. 18. Equity.
"Equity" means the historical capital cost of the facility's capital assets subject to the limitations in part 9553.0060, subpart 1, item C; and subpart 3, item H, decreased by the outstanding principal amount of the capital debts, and the historical capital cost of any capital assets retired from service, sold, or otherwise disposed. Increases in the principal amount of existing capital debts due to refinancing, or new capital debts due to a change of ownership or reorganization of provider entity for which the increase in interest expense is disallowed according to part 9553.0060, subpart 3, item G are not included in the outstanding principal amount of the capital debts for the purpose of calculating equity.
Subp. 19. Facility or ICF/DD.
"Facility" or "ICF/DD" means a program licensed to serve persons with developmental disabilities under Minnesota Statutes, section 252.28, and a physical plant licensed as a supervised living facility under Minnesota Statutes, chapter 144, which together are certified by the Minnesota Department of Health as an intermediate care facility for the developmentally disabled.
Subp. 20. Field audit.
"Field audit" means the on-site examination, verification, and review of the cost report, financial records, statistical records, and related supporting documentation of the provider or provider group.
Subp. 21. Fringe benefits.
"Fringe benefits" means workers' compensation insurance, group health insurance, disability insurance, dental insurance, group life insurance, and retirement benefits or plans.
Subp. 22. Funded depreciation.
"Funded depreciation" means the sum deposited in a separate account as determined in accordance with part 9553.0060, subpart 1, item E and that must be applied only to reduce or liquidate capital debts or replace capital assets.
Subp. 23. Historical capital costs.
"Historical capital costs" means:
A. for a capital asset first placed in use in the medical assistance program on or after January 1, 1984, the cost incurred to construct or purchase the capital asset by the person or entity owning the capital asset on the date it was first placed in use in the medical assistance program; and
B. for a capital asset first placed in use in the medical assistance program prior to January 1, 1984, the cost originally incurred to construct or purchase the capital asset by the person or entity owning the capital asset on December 31, 1983.
Subp. 24. Historical operating costs.
"Historical operating costs" means the allowable operating costs incurred by the facility during the reporting year immediately preceding the rate year for which the payment rate becomes effective after the commissioner has reviewed those costs and determined them to be allowable costs under the medical assistance program and after the application of parts 9553.0010 to 9553.0080.
Subp. 25. Indirect cost.
"Indirect cost" means a cost incurred for a common or joint purpose of benefiting more than one cost category or not readily assignable to the cost categories benefited.
Subp. 26. Land.
"Land" means the land owned or leased by the provider or provider group and which is necessary for resident care.
Subp. 27. Land improvement.
"Land improvement" means an improvement to the land surrounding the facility as specified in the land improvements table of the depreciation guidelines, if the land improvement is the responsibility of the provider.
Subp. 28. Leasehold improvement.
"Leasehold improvement" means an improvement to property leased by the provider for the use of the facility that reverts to the owner of the property upon termination of the lease.
Subp. 29. Medical assistance program.
"Medical assistance program" means the program that reimburses the cost of health care provided to eligible recipients pursuant to Minnesota Statutes, chapter 256B and United States Code, title 42, section 1396a, et seq.
Subp. 30. Necessary service.
"Necessary service" means a function pertinent to the facility's operation that if not performed by the assigned individual would have required the provider to employ or assign another individual to perform it.
Subp. 31. Payroll taxes.
"Payroll taxes" means the employer's share of social security withholding taxes, and state and federal unemployment compensation taxes or costs.
Subp. 32. Physical plant.
"Physical plant" means the building or buildings in which a program licensed to provide services to persons with developmental disabilities under Minnesota Statutes, section 252.28, is located, and all equipment affixed to the building and not easily subject to transfer as specified in the building and fixed equipment tables of the depreciation guidelines, and auxiliary buildings in the nature of sheds, garages, and storage buildings located on the same site if related to resident care, and the allocated portion of office space if the office is located in that facility. Physical plant does not include buildings or portions of buildings used by central, affiliate, or corporate offices if those offices are not located in that facility.
Subp. 33. Private paying resident.
"Private paying resident" means a facility resident whose care is not paid for by the medical assistance program or cost of care program for the date of service.
Subp. 34. Program.
"Program" means those functions and activities of the facility that contribute to the care, supervision, developmental growth, and skill acquisition of the residents under parts 9525.0210 to 9525.0430 and Code of Federal Regulations, title 42, section 442.400, et seq.
Subp. 35. Program director.
"Program director" means the person who supervises individual program planning and program activities related to carrying out the individual program plans.
Subp. 36. Provider.
"Provider" means the corporation, governmental unit, partnership, person, or persons licensed to operate the facility, which controls the facility's operation, incurs the costs reported, and claims reimbursement under parts 9553.0010 to 9553.0080 for the care provided in the facility.
Subp. 37. Provider group.
"Provider group" means a parent corporation, any subsidiary corporations, partnerships, management organizations, and groups of facilities operated under common ownership or control that incurred the costs shown on the cost report which are claimed for reimbursement under parts 9553.0010 to 9553.0080.
Subp. 38. Rate year.
"Rate year" means the period for which the total payment rate is effective, from October 1 to September 30.
Subp. 39. Related organization.
"Related organization" means a person that furnishes goods or services to a facility and that is a close relative of a provider or a provider group, an affiliate of a provider or provider group, a close relative of an affiliate of a provider or provider group, or an affiliate of a close relative of an affiliate of a provider or provider group. For the purposes of this subpart, the following terms have the meanings given them.
A. "Affiliate" means a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with another person.
B. "Person" means an individual, a corporation, a partnership, an association, a trust, an unincorporated organization, or a government or political subdivision.
C. "Close relative of an affiliate of a provider or provider group" means an individual whose relationship by blood, marriage, or adoption to an individual who is an affiliate of a provider or provider group is no more remote than first cousin.
D. "Control" including the terms "controlling," "controlled by," and "under common control with" means the possession, direct or indirect, of the power to direct or cause the direction of the management, operations, or policies of a person, whether through the ownership of voting securities, by contract or otherwise.
Subp. 40. Repair.
"Repair" means the cost of labor and materials needed to restore an existing capital asset to sound condition after damage or malfunction or to maintain an existing capital asset in a usable condition.
Subp. 41. Replacement.
"Replacement" means a renovation or substitution of an existing capital asset to improve its function or extend its useful life.
Subp. 42. Reporting year.
"Reporting year" means the period from January 1 to December 31 immediately preceding the rate year, for which the provider submits its cost report, and that is the basis for the determination of the total payment rate for the following rate year.
Subp. 43. Resident day.
"Resident day" means a day on which services provided to residents are rendered and billable, or a day for which a bed is held and billed.
Subp. 44. Respite care.
"Respite care" means short-term supervision, assistance, and care provided to persons with developmental disabilities due to the temporary absence or need for relief of the caregiver who normally provides these services and is not an institutional provider.
Subp. 45. Top management personnel.
"Top management personnel" means owners, corporate officers, general, regional, and district managers, board members, administrators, the facility administrator, and other persons performing executive functions normally performed by such personnel, whether employed full time, part time, or as a consultant. The facility administrator is the person in charge of the overall day-to-day activities of the facility.
Subp. 46. Total payment rate.
"Total payment rate" means the amount established by the commissioner to reimburse the provider for service provided to each resident. The total payment rate is calculated by adding the total operating cost payment rate, the special operating cost payment rate, and the property-related cost payment rate.
Subp. 47. Useful life.
"Useful life" means the length of time a capital asset is expected to provide economic service before needing replacement.
Subp. 48. Vested.
"Vested" means the existence of a legally fixed unconditional right to a present or future benefit.
Subp. 49. Working capital loan.
"Working capital loan" means a debt incurred to finance a facility's operating costs. A working capital loan does not include a debt incurred to acquire or refinance a capital asset.
Subp. 50. Working capital interest expense.
"Working capital interest expense" means the interest incurred on working capital loans during the reporting year.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; 12 SR 1148; L 2003 1Sp14 art 11 s 11; L 2005 c 56 s 2; L 2005 c 98 art 3 s 24
Minn. R. 9553.0030 Cost Classification and Allocation Procedures
Subpart 1. Cost classification.
Costs must be classified as provided in this subpart. Total costs for each category must be compiled and recorded on the cost report.
A. The provider shall classify costs using direct identification of costs, without allocation, by routine classification of transactions when costs are recorded in the books and records of the facility. The classification of costs must be made according to the cost categories defined in part 9553.0040.
B. In addition to costs which must be included in the administrative cost category, indirect costs such as generic supplies that cannot be readily assignable to one or more cost categories must be classified to the administrative cost category.
C. Except for persons in top management, the compensation of any person having multiple duties, including persons who have only nominal top management responsibilities, must be directly identified and classified to the appropriate cost categories on the basis of time distribution records that show actual time spent, or an accurate estimate of time spent on various activities. Except as provided in item D, the compensation of persons who have top management responsibilities may be classified to a cost category other than administrative operating costs to the extent justified in time distribution records showing the actual time spent, or an accurate estimate of time spent on various activities. Any facility or provider group choosing to estimate the time spent in different cost categories must use a statistically valid method.
D. The compensation of a person who is classified as top management personnel and who performs any service for the central, affiliated, or corporate office must be allocated to the facility's administrative cost category in accordance with subpart 4, item C if the facility or provider group served by the central, affiliated, or corporate office has more than 48 licensed beds.
Subp. 2. Allocation of personal expenses for owners whose primary residence is in the facility.
Allocation procedures in this subpart must be applied to personal expenses of owners whose primary residence is in the facility to the extent that these costs were included in the facility's costs.
A. Dietary services cost allocation must be based on the number of meals served.
B. Housekeeping, plant operations, and maintenance cost allocation must be based on the ratio of square feet of floor space devoted to personal use divided by the total square feet of floor space of the facility.
C. Depreciation, interest, real estate and personal property taxes, and property and liability insurance costs must be allocated based on the ratio of square feet of floor space devoted to personal use divided by the total square feet of floor space of the facility.
D. Laundry and linen costs, and administrative costs for items such as telephones and vehicles, must be allocated based on a reasonable estimate of actual use.
Subp. 3. Cost allocations for other services.
Costs associated with services other than ICF/DD services such as apartments, semi-independent living services, and any other revenue generating operations, except respite care, must be allocated using the principles in subpart 1 and the procedures in subpart 2.
Subp. 4. Central, affiliated, or corporate office costs.
Cost allocation for central, affiliated, or corporate offices shall be governed by items A to F.
A. Central, affiliated, or corporate office salary expense representing services of consultants required by law or regulation in areas including dietary, pharmacy, program, or other resident care related activities may be allocated to the appropriate cost category, but only to the extent that those salary expenses are directly identified by the facility.
B. Central, affiliated, or corporate office costs representing services of consultants not required by law in the areas of program, quality assurance, medical records, dietary, other care related services, and plant operations may be allocated to the appropriate operating cost category of a facility according to subitems (1) to (5).
C. Except as provided in items A and B, central, affiliated, or corporate office costs must be allocated to the administrative cost category of each facility within the group served by the central, affiliated, or corporate office according to subitems (1) to (5).
D. Central, affiliated, or corporate office property-related costs of capital assets used directly by a facility in the provision of ICF/DD services must be classified to the property-related cost category of the facility which uses the capital asset. Central, affiliated, or corporate office property-related costs of capital assets that are not used directly by a facility in the provision of ICF/DD services must be allocated to the administrative cost category of each facility using the methods described in item C.
E. The useful life of a capital asset maintained by a central, affiliated, or corporate office must be determined as in part 9553.0060, subpart 1, item B.
F. A governmental or nonprofit organization that has a federally approved cost allocation plan may allocate management fees or central office costs to a related organization based on the governmental or nonprofit organization's federal cost allocation plan. The provider must document that the allocation plan has been approved by the federal government.
Subp. 5. Allocation of costs to related or nonrelated organizations.
A facility's costs associated with services or goods provided by the facility to a related or nonrelated organization must be allocated on the basis of items A to C.
A. Costs of services must be allocated based on the documentation of time spent performing the service by each individual providing services to the related organization or nonrelated organization. All identifiable expenses including salary, fringe benefits, and payroll taxes, travel, and supplies of an individual providing services for related organizations or nonrelated organizations must be allocated based on the ratio of actual time spent performing the services for each related or nonrelated organization.
B. The cost of goods sold to or used by a related organization or nonrelated organization must be directly allocated to the organization. The cost of goods sold to or used by more than one organization must be allocated proportionally to each related organization or nonrelated organization based on a reasonable estimate of actual use.
C. The cost of goods or services allocated to a related organization or nonrelated organization must not be an allowable cost for the facility.
Subp. 6. Payroll tax and fringe benefit cost allocation.
A facility's payroll taxes and fringe benefits reported in the payroll taxes and fringe benefit cost category must be classified to the program operating cost category, the maintenance operating cost category, and the administrative operating cost category based on direct identification or an allocation using the ratio of allowable salary costs in each of those cost categories to total allowable salary costs.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; 12 SR 1711; L 2005 c 56 s 2
Minn. R. 9553.0035 Determination of Allowable Costs
Subpart 1. Allowable costs.
Only costs determined to be allowable under parts 9553.0010 to 9553.0080 may be used to compute the total payment rate for facilities participating in the medical assistance program.
Subp. 2. Licensure and certification costs.
The costs of meeting the applicable licensure and certification standards listed in items A to E are allowable costs for the purpose of setting the facility's total payment rate unless otherwise provided in parts 9553.0010 to 9553.0080. The standards are:
A. federal regulations for ICF/DD services provided by Code of Federal Regulations, title 42, sections 442.400 et seq.;
B. requirements established by the commissioner for meeting program standards under parts 9525.0210 to 9525.0430 and standards for aversive and deprivation procedures established according to Minnesota Statutes, section 245.825;
C. requirements established by the Department of Health for meeting health standards as set out by state rules and federal regulations;
D. requirements to comply with changes in federal or state laws and regulations; and
E. other requirements for licensing under federal or state law, state rules, federal regulations, or local standards that must be met to provide ICF/DD services.
Subp. 3. Service costs.
The costs of services including program, maintenance, administrative, payroll taxes and fringe benefits, and property-related costs as defined in part 9553.0040, are allowable costs for the purpose of setting the facility's total payment rate unless otherwise provided in parts 9553.0010 to 9553.0080.
Subp. 4. Applicable credits.
Applicable credits must be used to offset or reduce the expenses of the facility to the extent that the cost to which the credits apply was claimed as a facility cost. This cost principle does not apply to items A and B:
A. payments made by the commissioner to the provider for approved services for very dependent persons with special needs pursuant to Minnesota Statutes, section 256B.501, subdivision 8, and parts 9510.1020 to 9510.1140; and
B. gifts and donations from nongovernmental sources.
Subp. 5. Adequate documentation.
A facility shall keep adequate documentation.
A. In order to be considered adequate, documentation must:
B. Providers must document all consultant, professional, or purchased service contracts. They must maintain copies of all contracts and invoices relating to consultant, professional, or purchased services. These documents must include the name and address of the vendor or contractor, the name of the person who actually performed the services, the dates of service, a description of the services provided, the unit cost, and the total cost of the service.
C. Payroll records must be maintained by a facility and must show the amount of compensation paid to each employee and the days and hours worked. Complete and orderly cost allocation records must be maintained for cost allocations made among cost categories or facilities as specified in part 9553.0030.
D. Documentation of mileage must be maintained in a motor vehicle log. Except for motor vehicles exclusively used for facility business, the facility or related organization must maintain a motor vehicle log for each vehicle used by the facility that shows personal and facility mileage for the reporting year. Mileage paid for the use of a private vehicle must be documented.
Subp. 6. Compensation for services performed by individuals.
Compensation for services performed by individuals includes all the remuneration paid currently, accrued or deferred, for services rendered by the provider or employees of the facility. Only compensation costs for the reporting period are allowable.
A. Compensation includes:
B. The facility must have a written policy for payment of compensation for services performed by individuals. The policy must:
C. Only services which are necessary services shall be compensated.
D. Except for accrued vested vacation and accrued vested sick leave, compensation must be actually paid, whether by cash or negotiable instrument, within 121 days after the close of the reporting year. If payment is not made within 121 days, the unpaid compensation must be disallowed in that reporting year. Payments made after the 121-day period are allowable in the reporting year made.
Subp. 7. Limitations on related organization costs.
Related organization costs are subject to items A to D.
A. Costs applicable to services, capital assets, or supplies directly or indirectly furnished to the provider by any related organization may be included in the allowable cost of the facility at the purchase price paid by the related organization for capital assets or supplies and at the cost incurred by the related organization for the provision of services to the facility if these prices or costs do not exceed the prices of comparable services, capital assets, or supplies that could be purchased elsewhere. For this purpose, the related organization's costs must not include an amount for mark up or profit, except as provided in the following paragraph. Except for the rental or leasing of facilities, if the related organization in the normal course of business sells services, capital assets, or supplies to nonrelated organizations, the allowable cost to the provider shall be no more than the price charged to the nonrelated organization provided that sales to nonrelated organizations constitute at least 50 percent of total annual sales of comparable services, or capital assets, or supplies.
B. Lease or rental costs paid to or by a related organization shall be allowed according to part 9553.0060, subpart 7.
C. The cost of ownership of a capital asset owned by a related organization and used by the facility may be included in the allowable cost of the facility. When the capital asset is sold or otherwise disposed of by the related organization and the depreciation on the asset has been claimed as a facility cost, any gain realized from the sale by the related organization must be transferred to the facility as an offset in the facility's property-related cost category. The amount of gain to be offset shall be determined as in part 9553.0060, subpart 1, item D.
D. A provider that sells, leases, or provides goods or services to a related organization or nonrelated organization shall allocate the cost of the goods or services to the related organization or nonrelated organization and identify the allocations in the facility's cost report. Costs shall be allocated as provided in part 9553.0030, subpart 5.
Subp. 8. Capitalization.
For rate years after September 30, 1986, the cost of purchasing or repairing capital assets shall be capitalized under items A to D, subject to part 9553.0060, subpart 1.
A. The cost of purchasing a capital asset listed in the depreciation guidelines must be capitalized. The cost of purchasing any other capital asset not included in the depreciation guidelines must be capitalized if the asset has a useful life of more than two years and costs more than $500. For costs incurred after September 30, 1992, a capital asset listed on the depreciation guidelines shall not be capitalized when the unit cost of that capital asset is $200 or less.
B. Repairs that cost $500 or less may be treated as an expense. Repairs that cost more than $500 and that extend the estimated useful life of the asset by at least two years must be capitalized. Improvements made solely for the purpose of making an asset useful for purposes other than those for which it was originally used or more useful for the same purposes must also be capitalized if the cost exceeds $500. Except for repairs necessitated solely as a result of destructive resident behavior, repairs treated as an expense must be classified in the maintenance operating cost category. Repairs necessitated solely as a result of destructive resident behavior and treated as an expense must be classified as a program operating cost.
C. Construction period interest expense, feasibility studies, and other costs related to the construction period must be capitalized and depreciated in accordance with part 9553.0060, subpart 1.
D. Items, such as land improvements whose maintenance or construction are not the responsibility of the provider, land, and goodwill, are not considered depreciable capital assets.
Subp. 9. Working capital interest expense.
Working capital interest expense is allowed subject to the requirements of items A and B.
A. Working capital interest expense on working capital debt incurred prior to January 1, 1986, is allowed under 12 MCAR SS 2.05301-2.05315 [Temporary].
B. Working capital interest expense for facilities constructed or established after January 1, 1986, must be limited under subitems (1) and (2).
Subp. 10. Retirement contributions.
Retirement contributions for each employee must be limited to either a qualified pension plan or a qualified profit sharing plan submitted to, and approved by, the Internal Revenue Service.
Subp. 11. Therapeutic overnight trips, camping, and vacations for residents.
The provider may use facility staff, supplies, equipment, and vehicles ordinarily provided as part of the facility program for therapeutic overnight trips, camping, and vacations for residents. In addition, up to $300 per year per resident may be allowed for fees, tickets, travel, lodging, and meals while residents are away from the facility. Other costs may be paid from other funding sources such as voluntary contributions from residents, relatives, and fund raisers.
Subp. 12. Preopening costs.
Preopening costs of newly established facilities shall be allowable as in items A to C.
A. Preopening operating costs of newly established facilities which are incurred within 30 days prior to admission of residents must be included in the facility's interim and settle-up cost reports.
B. Preopening costs of newly established facilities which are incurred more than 30 days prior to admission of residents must be capitalized as deferred charges and amortized over a period of not less than 60 consecutive months beginning with the month in which the first resident is admitted for care.
C. Preopening costs do not include property-related costs.
Subp. 13. Respite care.
The provider must report the costs associated with providing respite care as an allowable cost in the cost report and count respite care days as resident days.
Subp. 14. Top management compensation.
For establishment of the allowable historical operating cost, annual compensation for top management personnel who perform necessary services shall be limited according to items A to F. Documentation of all necessary service performed must be maintained according to subparts 5 and 6.
A. In no case shall the total compensation reimbursed according to parts 9553.0010 to 9553.0080 to an individual, any portion of whose compensation is reimbursed as top management compensation, exceed $53,820. A person who is included in top management personnel who performs necessary services for the facility or provider group on less than a full-time basis, may receive as allowable compensation no more than a prorated portion of $53,820 based on time worked.
B. If a person compensated for top management functions in a facility or organization is compensated for providing consultant services to that facility or organization, the compensation for consultant services however designated shall be subject to the top management compensation limitation.
C. Top management compensation shall not include, within the limits of items A and B, the benefits of group health or dental insurance, group life insurance, pensions or profit sharing plans, and governmentally required retirement plans.
D. If the fringe benefits paid to top management personnel are not provided to all or substantially all of the facility's employees at the same benefit level, that portion of the fringe benefits paid to top management personnel which is not provided to all or substantially all of the facility's employees, shall be disallowed.
E. An individual compensated for top management services on a less than full-time basis for a facility or provider group may be compensated for performing other necessary services which the individual is qualified to perform. Compensation for another necessary service must be at the pay rate for that service except that the total compensation paid to an individual cannot exceed the limit in item A.
F. The percentage difference between the previous two Januarys prior to the beginning of the rate year, the all urban consumer price index (CPI-U) for Minneapolis-Saint Paul, as published by the Bureau of Labor Statistics, new series index (1967=100) shall be used to increase the top management compensation limitation in item A. The consumer price index is incorporated by reference. It is available through the Minitex Interlibrary Loan System. It is subject to frequent change. The adjustment required by this formula shall be effective for the reporting year beginning on January 1, 1986, and each January 1 thereafter.
Subp. 15. General cost principles.
The commissioner shall use the cost principles in this subpart to determine allowable costs:
A. the cost is ordinary, necessary, and related to resident care;
B. the cost is what a prudent and cost conscious business person would pay for the specific good or service in the open market in an arm's length transaction;
C. the cost is for goods or services actually provided to the facility and the cost is actually paid for by the facility within 180 days after the close of the reporting year except as provided in subpart 6, item D;
D. the cost effects of transactions that have the effect of circumventing parts 9553.0010 to 9553.0080 are not allowable under the principle that the substance of the transaction must prevail over its form; and
E. costs that are incurred due to management inefficiency, unnecessary care or facilities, agreements not to compete, or activities not commonly accepted in the ICF/DD industry, are not allowable.
Subp. 16. Pass through of training and habilitation services costs.
Training and habilitation services costs shall be paid as a pass through payment at the lowest rate paid to the training and habilitation services vendor by the county for comparable services at that site under Minnesota Statutes, sections 252.40 to 252.47. The pass through payments for training and habilitation services are paid separately by the commissioner and are not included in the computation of the total payment rate.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; 12 SR 1711; 17 SR 784; L 2005 c 56 s 2
Minn. R. 9553.0036 Nonallowable Costs
The costs listed in this part are not allowable for purposes of establishing total payment rates. If any of the costs in this part are included in any account of the provider or provider group, they must be identified on the facility's cost report.
A. Contributions, including charitable contributions, and contributions to political action committees or campaigns.
B. Salaries and expenses of a lobbyist.
C. Assessments made by or the portion of dues charged by associations or professional organizations for lobbying, contributions to political action committees or campaigns, or litigation, except for successful challenges to decisions of agencies of Minnesota. When the breakdown of dues charged to a facility by an association or professional organization is requested by the commissioner and is not provided, the entire cost shall be disallowed.
D. Advertising designed to encourage potential residents to select a particular facility. This item does not apply to a total expenditure of $2,000 or less for all notices placed in the telephone yellow pages for the purpose of stating the facility's name, location, telephone number, and general information about services in the facility.
E. Assessments levied by the commissioner or the commissioner of the Minnesota Department of Health for uncorrected violations.
F. Purchases or activities not related to resident care such as flowers or gifts for employees or providers, employee parties, and business meals except as in part 9553.0040, subpart 3, item O.
G. Penalties, including interest charged on the penalty, interest charges which result from an overpayment, and bank overdraft or late payment charges.
H. Costs related to the purchase and care of pets which exceed the lesser of $20 per year per licensed bed, or $200 per year per facility.
I. Costs of sponsoring nonresident activities such as athletic teams and beauty contests.
J. Premiums on a life insurance policy for an owner or board member, of a facility, or for an employee of a related organization, except that the premiums shall be allowed if:
K. Personal expenses of owners and employees, such as vacations, boats, airplanes, personal travel or vehicles, and entertainment.
L. Employee's or owner's membership or other fees for social, fraternal, sports, health, or similar organizations.
M. Training programs for anyone except residents, facility employees, volunteers in the facility, or a resident's family or legal guardians.
N. Training programs to meet the minimum educational requirements of a position, education that leads to a degree, or education that qualifies the employee for a new trade or profession.
O. Bad debts and related bad debt collection fees.
P. Costs of fundraising activities.
Q. Costs of personal need items, such as personal clothing, normally paid for by residents.
R. Costs incurred in providing other than ICF/DD services such as the costs of apartments, day activity center or work activity center costs, regular travel costs to attend day activity or work activity centers, and semi-independent living skills services (SILS).
S. Operating costs for goods and services to the extent that the goods and services are financed by gifts or grants from public funds. A transfer of funds from a local government unit to its governmentally owned facility is not a gift or grant under this item.
T. Telephones, televisions, and radios provided in a resident's room.
U. Costs of agreements not to compete.
V. Costs of services provided to a resident by a licensed medical, therapeutic, or rehabilitation practitioner or any other vendor of medical care which are billed separately on a fee for service basis, including:
W. Allowances for uniforms unless required by governmental rules or regulations.
X. Costs of therapeutic overnight trips, camping, or vacations for residents except as in part 9553.0035, subpart 11.
Y. Legal and related expenses for unsuccessful challenges to decisions of governmental agencies.
Z. Fringe benefits or payroll taxes associated with disallowed salary costs.
AA. Costs incurred in providing approved services for very dependent persons with special needs under parts 9510.1020 to 9510.1140.
BB. Payments made in lieu of real estate taxes, unless such payments are made according to a legally enforceable, noncancelable, written contract entered into prior to the date upon which parts 9553.0010 to 9553.0080 become effective.
CC. Costs incurred for activities directly related to influencing employees with respect to unionization.
DD. Costs associated with changes in ownership or reorganization of provider entities, including legal fees, accounting fees, administrative costs, travel costs, and the costs of feasibility studies attributed to the negotiation or settlement of a change in ownership or reorganization.
EE. Accruals of vacation and sick leave for employees who are not fully vested.
FF. Costs for pension or profit sharing plans which do not meet the requirements of part 9553.0035, subpart 10.
GG. Costs for which adequate documentation is not maintained or provided as required by parts 9553.0010 to 9553.0080.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; L 2005 c 56 s 2
Minn. R. 9553.0040 Reporting by Cost Category
Subpart 1. Program operating costs.
The direct costs of program functions must be reported in the program operating cost category. These costs include:
A. salaries of program staff, including the program director, unit coordinators, and nursing staff;
B. supplies;
C. consultant or purchased services;
D. program staff training including the cost of lodging and meals, to meet the requirements of laws, rules, or regulations for keeping an employee's salary, status, or position, or to maintain or update skills needed in performing the employee's present duties;
E. therapeutic overnight trips, camping, or vacations for residents within the limitations in part 9553.0035, subpart 11;
F. membership or other fees for resident participation and staff supervision in social, sports, health, or similar organizations;
G. the operating costs and vehicle insurance expense of a facility owned vehicle except staff compensation costs, or reimbursement for mileage for use of a personal vehicle, to the extent that the vehicle is used to transport residents for program purposes;
H. telephone, television, and radio services provided in areas designated for use by the general resident population, such as lounges and recreation rooms;
I. payroll taxes and fringe benefits allocated in accordance with part 9553.0030, subpart 6;
J. accrued vacation and sick leave; and
K. repairs necessitated solely as a result of destructive resident behavior.
Subp. 2. Maintenance operating costs.
The costs listed in this subpart are included in the maintenance operating cost category.
A. Direct costs of dietary services including:
B. Direct costs of laundry and linen services include:
C. Direct costs of housekeeping services include:
D. Direct costs of plant operations and maintenance services include:
E. Payroll taxes and fringe benefits allocated in accordance with part 9553.0030, subpart 6.
Subp. 3. Administrative operating costs.
The costs listed in this subpart are included in the administrative operating cost category:
A. business office functions;
B. travel expenses except as provided in subpart 1, items E and G;
C. motor vehicle operating costs, except as provided in subpart 1, items E and G;
D. telephone and telegraph charges, except as provided in subpart 1, item H;
E. office supplies;
F. insurance except as in subparts 1 and 6;
G. salaries, wages, or fees of top management personnel, accounting and clerical personnel, data processing personnel, receptionists, and other management or administrative personnel;
H. professional fees for services such as legal, accounting, and data processing services;
I. business meetings and seminars;
J. postage;
K. training, including the cost of lodging and meals, for management personnel and other personnel not related to direct resident care if the training either meets the requirements of laws or regulations for keeping an employee's salary, status, or position, or maintains or updates skills needed to perform the employee's present duties;
L. membership fees for associations and professional organizations which are directly related to the operation of the facility;
M. subscriptions to periodicals which are directly related to the operation of the facility;
N. advertising and personnel recruitment costs including help wanted advertising;
O. the costs of meals incurred as a result of required overnight business related travel;
P. security services or security personnel;
Q. management fees of a nonrelated organization;
R. working capital interest expense;
S. indirect costs classified in part 9553.0030, subpart 1, item B;
T. central, affiliated, or corporate office costs excluding the property-related costs of capital assets used exclusively by individual facilities in the provider group as in part 9553.0030, subpart 4, item D. Central, affiliated, or corporate office costs shall be allocated in accordance with part 9553.0030, subpart 4;
U. payroll taxes and fringe benefits allocated in accordance with 9553.0030, subpart 6; and
V. accrued vacation and sick leave.
Subp. 4. Payroll taxes and fringe benefits.
Only the costs listed in this subpart are to be included in the payroll taxes and fringe benefits cost category. The commissioner shall allocate these costs to other cost categories in accordance with part 9553.0030, subpart 6.
A. the employer's share of the social security withholding tax;
B. state and federal unemployment compensation taxes or costs;
C. group life insurance and disability insurance;
D. group health and dental insurance;
E. workers' compensation insurance;
F. either a pension plan or profit sharing plan as in part 9553.0035, subpart 10; and
G. governmentally required retirement contributions.
Subp. 5. Property-related costs.
The facility costs listed in this subpart are included in the property-related cost category:
A. allowance for depreciation of capital assets, except land;
B. capital debt interest expenses;
C. rental and lease payments; and
D. payments permitted under part 9553.0036, item BB.
Subp. 6. Special operating costs.
The facility costs listed in this subpart are included in the special operating cost category:
A. special assessments and real estate taxes;
B. license fees required by the Minnesota Department of Human Services and the Minnesota Department of Health;
C. real estate insurance;
D. professional liability insurance;
E. the portion of preopening costs amortized as in part 9553.0035, subpart 12, item B;
F. training and habilitation services costs; and
G. physical plant modifications or additional depreciable equipment costs allowed under part 9553.0061.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; 12 SR 1711; 17 SR 784
Minn. R. 9553.0041 General Reporting Requirements
Subpart 1. Required cost reports.
No later than April 30 of each year, the provider shall submit an annual cost report on forms supplied by the commissioner in order to receive medical assistance payments. The reports must cover the reporting year ending December 31, except that for reporting years ending on or after December 31, 1987, a provider operating a facility that is attached to a nursing home that is reimbursed under parts 9549.0010 to 9549.0080 may elect to report the facility's costs and statistical information for the period covered by the nursing home's reporting year. If a certified audit has been prepared, it must be submitted with the cost report. In addition, a provider or provider group which has 48 or more licensed beds shall submit an annual certified audit of its financial records obtained from an independent certified public accountant or licensed public accountant. The examination must be conducted in accordance with generally accepted auditing standards as adopted by the American Institute of Certified Public Accountants and generally accepted accounting principles. A government owned facility may comply with these auditing requirements by submitting the audit report prepared by the state auditor.
Subp. 2. Required information.
A complete annual cost report must contain the following items:
A. General facility information and statistical data as requested on the cost report form.
B. Reports of historical operating costs and property related costs with supporting calculations and worksheets as requested on the cost report form.
C. The provider's balance sheet and income statement for each facility prepared in accordance with generally accepted accounting principles unless audited financial statements are required to be submitted according to subpart 1. If audited financial statements are required, the facility must submit a copy of its audited financial statements for the reporting year. The audited financial statements must include a balance sheet, income statement, statement of retained earnings, statement of changes in financial position, notes to the financial statements, and supplemental information, as required of an audit conducted in accordance with generally accepted auditing standards, and the certified or licensed public accountant's opinion. If the financial statements are not sufficiently detailed or the facility's fiscal year is different from the reporting year, the facility shall provide supplemental information that reconciles costs on the financial statements with the cost report.
D. A list of the provider's capital debts and working capital loans outstanding for each facility during the reporting year, the name of the lender, the term of the debt, the interest rate of the debt, interest and principal payments for the current year, and the original amount of each loan.
E. A schedule of the provider's funded depreciation account for each facility.
F. A statement of ownership for the facility, including the name, address, and proportion of ownership of each owner, or a statement that no changes have been made since the last cost report. If a privately held or closely held corporation or partnership has an ownership interest in the facility, the facility must report the name, address, and proportion of ownership of all owners of the corporation or partnership who have an ownership interest of five percent or more, except that any owner whose compensation or portion of compensation is claimed for reimbursement in the facility's cost report must be identified regardless of the proportion of ownership interest. If a publicly held corporation has an ownership interest of 15 percent or more in the facility, the facility must report the name, address, and proportion of ownership of all owners of the publicly held corporation who have an ownership interest of ten percent or more.
G. A list of all related organizations which included costs in the cost report in excess of $1,000 annually, and a list of all facilities in the provider group.
H. Copies of purchase agreements and other documents related to purchase of the physical plant and land, or a signed statement that no changes have been made in the documents which are on file with the department.
I. Copies of leases and other documents related to the lease of the physical plant and land, or a signed statement indicating that no changes have been made in the documents on file with the commissioner. Lease documents must include information on the historical capital cost of the physical plant and land, and the information listed in item D as paid by the lessor.
J. Complete lapsing depreciation schedules calculated in accordance with part 9553.0060.
K. Charts showing staff assignments classified according to the cost categories in part 9553.0040. The charts must contain the information specified in the cost report form.
L. Documentation of costs included in the payment rate for approved services for very dependent persons with special needs under parts 9510.1020 to 9510.1140. These costs must be reported on an individual resident basis unless the special needs payment rate was approved for more than one resident.
M. An explanation of all adjustments made by the provider to the cost report and the applicable rule citations.
N. A breakdown of all costs included in the related organization's management fees or central, affiliated, or corporate office costs charged to the provider and the related organization's costs allocable to the facility in accordance with part 9553.0030. The breakdown must contain all costs of items as listed in part 9553.0040, subpart 3 except that related organizations that have a federally approved cost allocation plan which has been documented by the provider, may break down the management fee or central office costs according to the approved plan. The supporting schedules must include the related organization's or the central, affiliated, or corporate office income statement; the cost allocated to each facility, related organization, or nonrelated organization; and an explanation of the method of allocation used.
Subp. 3. Supplemental reports.
In order to substantiate the payment rate, the commissioner may require the provider to provide items A to E:
A. Except as provided in subpart 1, separate, certified audited financial statements, if they have been prepared, for each related organization which include costs in the cost report in excess of $1,000 annually. If a certified audited financial statement is not available, then unaudited financial statements must be submitted for that entity. The commissioner may also require that the financial statements include a balance sheet, income statement, statement of retained earnings, statement of change in financial position, notes to the financial statements, and supplemental information as required of an audit conducted in accordance with generally accepted auditing standards.
B. Copies of purchase agreements, consultant contracts, and other documents related to the purchase or acquisition of equipment, goods, and services.
C. Copies of leases and other documents related to the lease of depreciable equipment, furnishings, and goods. Lease documents include information on the historical capital cost of the equipment, furnishings, and goods, and the information listed in subpart 2, item D as paid by the lessor.
D. Access to federal and state income tax returns for an individual, provider, or provider group having an ownership interest in the facility as specified in subpart 2, item F.
E. Other relevant information required to support a payment rate.
Subp. 4. Method of accounting.
The accrual method of accounting in accordance with generally accepted accounting principles consistently applied is the only method acceptable for purposes of satisfying reporting requirements. If a government owned facility demonstrates that the use of the accrual method of accounting is not applicable to the facility, and that a cash or modified accrual method of accounting more accurately reports the facility's financial operations, the commissioner shall permit the provider to use a cash or modified accrual method of accounting.
Subp. 5. Records.
The provider must maintain statistical and accounting records in sufficient detail to support the five most recent annual cost reports submitted to the commissioner.
Subp. 6. Conflicts.
If conflicts occur between parts 9553.0010 to 9553.0080 and generally accepted accounting principles, then parts 9553.0010 to 9553.0080 shall prevail.
Subp. 7. Certification of reports.
Required reports must be accompanied by a signed statement attesting to the accuracy of the information submitted on the required reports. The statement must be signed either by the provider or, for a partnership, one of the partners, or, for a corporation, the officer authorized to legally bind the firm. If reports have been prepared by a person other than the above individual, a separate statement signed by the preparer must also be included.
Subp. 8. Deadlines, extensions, and rejections.
Items A to C govern deadlines, extensions, and rejection of reports.
A. The facility must submit the required annual cost reports to the commissioner by April 30. The annual cost report must cover the reporting year ending on December 31 of each year. A facility that terminates participation in the medical assistance program during a reporting year must submit the required annual cost report covering the period from January 1 of that reporting year to the date of termination. The annual cost report must be submitted within four months after termination.
B. The commissioner may reject any annual cost report filed by a facility that is incomplete or inaccurate or may require supplemental information according to subpart 3. The corrected report or the supplemental information requested must be returned to the commissioner within 20 days of the request or the report must be rejected. The commissioner shall extend this time if the facility submits a written request and if the extension of time will not prevent the commissioner from establishing rates in a timely manner. Except as provided in item C, failure to file the required cost report and other required information or to correct the form of an incomplete or inaccurate report shall result in the rejection of the cost report and in a reduction of the payment rate as specified in subpart 10. Except as provided in item C, failure to provide the additional information shall also result in a reduction in the payment rate as specified in subpart 10 unless the total payment rate can be calculated by the disallowance of the cost for which the additional information was requested, in which case no rate reduction as specified in subpart 10 shall occur.
C. Except for the copy of the lease agreement, failure to provide the information in subpart 2, item I and subpart 3, item C when the lessor refuses to provide the information shall not result in a reduction in the payment rate as specified in subpart 10 if the lease or rental agreement was arms-length in accordance with part 9553.0060, subpart 7, item B.
Subp. 9. Effective date of total payment rate.
The commissioner shall provide notice to each facility of its total payment rate by September 1 of each year. The total payment rate is effective from October 1 of that year to September 30 of the following year.
Subp. 10. Noncompliance.
A facility's failure to comply with reporting requirements subjects the facility to items A to C.
A. If a facility fails to provide reports, documentation, and worksheets required in this part, the commissioner shall reduce the facility's total payment rate to 80 percent of the total payment rate as provided in item B.
B. The reduced total payment rate is effective:
C. Reinstatement of the total payment rate upon remedy of the failure or inadequacy is retroactive.
Subp. 11. Audits.
Facility audits are subject to items A to C.
A. The department shall subject reports and supporting documentation to desk and field audits to determine compliance with parts 9553.0010 to 9553.0080. Retroactive adjustments may be made as a result of desk or field audit findings. If the audits reveal inadequacies in facility record keeping or accounting practices, the commissioner may require the facility to engage competent professional assistance to correct those inadequacies within 90 days of the written notification by the commissioner so that the field audit may proceed.
B. Field audits may cover the four most recent annual cost reports for which desk audits have been completed and payment rates have been established. The field audit must be an independent review of the facility's cost report. All transactions, invoices, or other documents that support or relate to the costs claimed on the annual cost reports are subject to review by the field auditor.
C. A field audit shall be completed within 90 days after commencement for a provider with a single facility or within 180 days for a provider group.
Subp. 12. Suspension of audit.
The commissioner may suspend a field audit for good cause or if the provider's books and records are unavailable or unauditable. The commissioner shall notify the provider in writing when a field audit is suspended. If the field audit is suspended, the commissioner shall indicate in writing the date the field audit will again commence. If the field audit is suspended because the provider's books and records are unavailable or unauditable, the commissioner shall follow the procedures in subpart 11, item A. The deadline for completion of the field audit must be extended by the length of the suspension.
Subp. 13. Adjustments.
Adjustments to the total payment rate may be made as a result of desk or field audit findings or subject to part 9553.0050, subpart 3. Desk or field audit adjustments are made according to items A to G.
A. Field audit adjustments must be made only if the adjustment would result in at least a five cent per resident day or $2,000 cost change, whichever is less.
B. Retroactive adjustments to the facility's total payment rate must be made as a result of desk and field audit findings, except that field audit adjustments shall be limited by the restrictions in item A.
C. If the adjustment results in a payment from the provider, payment must be made by the provider within 120 days after the date of the written notice. If the payment rate adjustment results in a payment to the provider, the medical assistance program payment to the provider must be made within 120 days after the date of the written notice. Interest charges must be assessed on balances outstanding after 120 days of written notification to the provider.
D. If an appeal has been filed under part 9553.0080, any payments owed by the provider or by the commissioner must be made within 120 days of the written notification to the provider of the commissioner's ruling on the appeal. Interest charges must be assessed on balances outstanding after 120 days of written notification of the commissioner's ruling on the appeal.
E. The annual interest rate charged in items C and D must be the rate charged by the commissioner of the Minnesota Department of Revenue for late payment of taxes, which is in effect on the 121st day after the written notification.
F. Any changes, adjustments, or amendments which result in a reimbursement to the facility shall be subject to the limitations in part 9553.0070, subpart 2.
G. Adjustments to the payment rate are limited to the four complete reporting years preceding the date on which an audit commences. Changes in the total payment rate which result from desk or field audit adjustments to cost reports for reporting years beyond the four most recent annual cost reports, must be made to the four most recent annual cost reports, the current cost report, and future cost reports to the extent that those adjustments affect the total payment rate established by those reporting years.
Subp. 14. Amended reports.
Amendments to previously filed annual cost reports are governed by items A to E.
A. Facilities may file amendments to previously filed cost reports when errors or omissions in the annual cost report are discovered which would result in at least a five cent per resident day or $2,000 adjustment, whichever is less for each reporting year.
B. The commissioner shall make retroactive adjustments to the total payment rate of an individual facility if the amendment is filed within 14 months of the original cost report to be amended. An error or omission for purposes of this item does not include a facility's determination that a prior choice between alternative methods of reporting costs permitted under the rules was not advantageous and should be changed. Errors or omissions which do not meet the threshold amount required for amended cost reports, or errors or omissions discovered after the 14-month time limitation specified herein, may be claimed at the time of the field audit.
C. Providers must not amend a previously filed cost report for the purpose of removing costs of services for which the facility seeks separate billing.
D. The amended cost report must consist of the corrected cost report pages resulting in the amendment and supporting documentation. The corrections or changes must be calculated according to parts 9553.0010 to 9553.0080.
E. Providers can file no more than two amendments to a previously filed cost report in which they have found errors or omissions.
Subp. 15. False reports.
If a provider knowingly supplies inaccurate or false information in a required report that results in an overpayment, the commissioner shall do one or more of the following:
A. immediately adjust the facility's payment rate to recover the entire overpayment;
B. terminate the commissioner's agreement with the provider; and/or
C. prosecute under applicable state or federal laws.
Subp. 16. Reporting real estate taxes, special assessments, and insurance.
The facility shall submit a copy of its statement of real estate taxes payable for the calendar year in which the rate year begins and a copy of the invoices for the real estate insurance and professional liability insurance for coverage during the rate year by June 30 each year. Except as provided in this subpart, the commissioner shall disallow the costs of real estate taxes, special assessments, real estate insurance, and professional liability insurance, if the documentation is not submitted by July 31. The disallowance shall remain in effect until the facility provides the documentation and amends the cost report under subpart 14. The historical operating cost for the special operating costs during the reporting year must be shown on the cost report.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; 12 SR 2104
Minn. R. 9553.0050 Determination of Total Operating Cost Payment Rate
Subpart 1. Establishment of allowable historical operating cost per diem.
The commissioner shall annually review and adjust the operating costs incurred by the facility during the reporting year preceding the rate year to determine the facility's allowable historical operating costs. The review and adjustment must comply with parts 9553.0010 to 9553.0080. Each facility's allowable historical operating cost per diem shall be established according to items A to F.
A. The total allowable historical operating cost per diem shall be limited according to subitems (1) to (5).
B. The program allowable historical operating cost per diem shall be computed by dividing the program allowable historical operating costs in that cost category incurred during the reporting year by the greater of resident days or 85 percent of capacity days.
C. The maintenance allowable historical operating cost per diem shall be computed by dividing the maintenance allowable historical operating costs in that cost category incurred during the reporting year as limited according to item A, by the greater of resident days or 85 percent of capacity days.
D. The administrative allowable historical operating cost per diem shall be computed by dividing the administrative allowable historical operating cost in that cost category incurred during the reporting year as limited according to item A, by the greater of resident days or 85 percent of capacity days.
E. For the rate year beginning October 1, 1986, the allowable certified audit cost per diem shall be computed by dividing the allowable certified audit cost as determined in item A, subitem (1), unit (d) by the greater of resident days or 85 percent of capacity days.
F. If a facility's total allowable historical operating cost per diem or allowable historical operating cost per diems in any of the operating cost categories is greater than the respective operating cost payment rate established for the corresponding rate year, there must be no retroactive cost settlement, unless the difference is due to:
Subp. 2. Establishment of total operating cost payment rate.
The total operating cost payment rate shall be established according to items A to F.
A. For the rate year beginning October 1, 1986, and for the first three months of the rate year beginning October 1, 1987, the allowable historical operating cost per diems determined according to subpart 1, items B to D, shall be adjusted by the annualized percentage change in the all urban consumer price index (CPI-U) for Minneapolis-Saint Paul as published by the Bureau of Labor Statistics, United States Department of Labor, between the two most recent Decembers before the beginning of the rate year. The year 1967 is the standard reference base period. For the rate year beginning October 1, 1986, the allowable certified audit cost per diem in subpart 1, item E, shall not be adjusted by the CPI-U. Beginning January 1, 1988, and for rate years beginning on or after October 1, 1988, the allowable historical operating cost per diems determined according to subpart 1, items B to D, shall be adjusted by the annualized percent moving average of the index specified in subpart 1, item A, subitem (1), unit (f). For the period January 1, 1988 to September 30, 1988, the program allowable historical operating cost per diem determined according to subpart 1, item B, shall be adjusted by adding 2.46 to the annualized percent moving average of the index specified in subpart 1, item A, subitem (1), unit (f).
B. The program operating cost payment rate shall be the adjusted program operating cost per diem computed in item A except as provided in subpart 3.
C. The maintenance operating cost payment rate shall be the adjusted maintenance operating cost per diem computed in item A.
D. The administrative operating cost payment rate shall be the adjusted administrative operating cost per diem computed in item A.
E. If the reporting year's total operating cost excluding special operating costs, is less than the sum of the limits computed in subpart 1, item A, subitems (2), (3), and (4), the facility shall receive the difference divided by the greater of resident days or 85 percent of capacity days as an efficiency incentive, up to a maximum of $2 per resident per day. Beginning January 1, 1988, and for rate years beginning on or after October 1, 1988, if the reporting year's total allowable operating cost after all limits excluding special operating costs, is less than the sum of the limits computed in subpart 1, item A, subitems (2), (3), and (4), the facility shall receive the difference divided by the greater of resident days or 85 percent of capacity days as an efficiency incentive, up to a maximum of $2 per resident per day. A facility whose program allowable historical operating cost incurred during the reporting year is below the program historical operating cost limit established in subpart 1, item A, subitems (2), (3), and (4) is not eligible to receive the efficiency incentive. The efficiency incentive must not be adjusted as a result of a field audit.
F. The total operating cost payment rate shall be the sum of items B to E. For the rate year beginning October 1, 1986, the total operating cost payment rate shall be the sum of items B to E and the allowable certified audit cost per diem as determined in subpart 1, item E.
Subp. 3. One time adjustment to program operating cost payment rate.
For the purposes of this subpart, "additional program staff" means staff in excess of the number included in the facility's total payment rate during the rate year covering the date of the finding of deficiency or need. The one time adjustment shall be determined according to items A to H.
A. A facility is eligible for a one time adjustment to the facility's program operating cost payment rate when the facility meets one of the conditions in subitems (1) to (4) and the conditions in item B.
B. To qualify for a one time adjustment the facility must document that:
C. The facility must submit to the commissioner a written request for the one time adjustment to the program operating cost payment rate. The request must include:
D. The commissioner shall evaluate the documents submitted in item C using the criteria in items A and B. If the request meets the criteria in items A and B, the commissioner shall compute the one time adjustment to the program operating cost payment rate in accordance with subitems (1) to (5).
E. If the amount in item D, is greater than zero, the commissioner shall allow a one time adjustment to the facility's total payment rate equal to that amount. The one time adjustment shall be effective on the first day of the month following the commissioner's determination unless the facility is eligible for a one time adjustment under item A, subitem (4). For a facility eligible under item A, subitem (4), the one time adjustment shall be effective on the first day of the month in which any person identified in the plan approved by the commissioner is admitted to the facility.
F. The one time adjustment to the facility's total payment rate shall remain in effect for at least a 21-month period. At the end of the first full reporting year which occurs during the one time adjustment period, the commissioner shall conduct a fiscal and program review. Based on the results of the fiscal and program review, the commissioner shall implement either subitem (1), (2), or (3).
G. The facility must record the costs associated with this subpart separately from other facility costs until the commissioner's fiscal and program review establishes that the facility has implemented the plan specified in item C, subitem (4). To prevent duplicate payment, the program costs associated with this subpart are nonallowable until after the commissioner has reviewed and approved these costs in accordance with item F. If the commissioner approves these costs, the costs incurred during the reporting year which includes 12 months of the additional costs identified in item D, subitem (1), shall be allowable.
H. The commissioner shall authorize payments under this subpart only once in a three-year period for a facility.
History
- Statutory Authority: MS s 256B.092; 256B.501
- History: 10 SR 1298; 11 SR 2408; 12 SR 1711; 12 SR 2104; 17 SR 784; 18 SR 2244
Minn. R. 9553.0051 Determination of the Special Operating Cost Payment Rate
The total allowable special operating costs in part 9553.0040, subpart 6, as adjusted by part 9553.0041, subpart 16, must be divided by the greater of resident days or 85 percent of licensed capacity days to compute the special operating cost payment rate.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298
Minn. R. 9553.0060 Determination of Property Related Payment Rate
Subpart 1. Depreciation.
Allowable depreciation expense must be determined according to items A to E.
A. Subject to the limitations in item C, the basis for calculating depreciation is governed by subitems (1) to (7).
B. The straight line method of depreciation must be used to compute the facility's depreciation for each capital asset. The useful life of a capital asset must be determined in accordance with subitems (1) to (3), except as provided in part 9553.0030, subpart 4, item E.
C. The facility's historical capital costs shall be limited by subitems (1) to (5).
D. Gains and losses on the disposal of capital assets must be included in the computation of allowable costs. A gain on the sale or abandonment of a facility's capital assets must be offset against the property related cost category to the extent that the gain resulted from depreciation expense claimed for reimbursement under parts 9553.0010 to 9553.0080, 12 MCAR SS 2.05301-2.05315 [Temporary], or parts 9510.0500 to 9510.0890. Gains or losses on trade-ins shall be reflected in the historical capital cost of the acquired capital asset. Claims for losses are limited to a total of ten cents per resident day per reporting year. Any excess loss not claimed during the reporting year may be carried forward to future years.
E. Except as provided in subpart 7, facilities must fund depreciation according to subitems (1) to (8).
Subp. 2. Limitations on interest rates.
The commissioner shall limit interest rates according to items A to C.
A. Except as provided in item B, the effective interest rate of each allowable capital debt, including points, financing charges, and amortization of bond premiums or discounts, entered into after December 31, 1985, is limited to the lesser of subitems (1), (2), and (4) for all capital debt except motor vehicles. The limitations on motor vehicle capital debt is the lesser of subitems (1), (3), and (4). The limits are:
B. Variable or adjustable interest rates for allowable capital debts are allowed subject to the limits in item A. For each allowable capital debt with a variable or adjustable interest rate, the effective interest rate must be computed by dividing the interest expense including points, financing charges, and amortization of bond premiums or discounts for the reporting year by the average allowable capital debt. The average allowable capital debt shall be computed as in subpart 3, item G, subitem (4).
C. The effective interest rate for capital debts incurred before January 1, 1984, is allowed in accordance with the laws and rules in effect at the time the capital debt was entered into provided the effective interest rate is not in excess of what the borrower would have had to pay in an arms-length transaction in the market in which the capital debt was incurred. For rate years beginning after September 30, 1987, the effective interest rate for debts incurred before January 1, 1984, is subject to the limit in item A, subitem (4), unless the refinancing of the capital debt is prohibited by the original terms of the agreement with the lender.
Subp. 3. Allowable interest expense.
Allowable capital debt interest expense shall be determined in accordance with items A to J.
A. Except as in subpart 1, item E, subitem (7), interest income earned on the required funded depreciation shall not be deducted from capital debt interest expense and working capital interest expense. Interest income earned on amounts deposited in a Development Cost Escrow Account required by the Minnesota Housing Finance Agency or other similar accounts and which is available during the reporting year to the provider or provider group shall be deducted from capital debt interest expense. Any other interest income shall not be deducted from capital debt interest expense. Except for interest income earned on the required funded depreciation, interest income available during the reporting year to the provider or provider group shall be deducted from the working capital interest expense.
B. All interest expense for capital debts entered into prior to January 1, 1984, shall be allowed in accordance with the laws and rules in effect at the time the capital debt was entered into provided the effective interest expense is not in excess of what the borrower would have had to pay in an arms-length transaction, except that for rate years beginning after September 30, 1987, the effective interest rate for debts incurred before January 1, 1984, is allowed subject to subpart 2, item A, subitem (4).
C. A facility which has a restricted fund must use its restricted funds to purchase or replace capital assets to the extent of the cost of those capital assets before it borrows funds for the purchase or replacement of those capital assets. For purposes of this subpart, a restricted fund is a fund whose use is restricted by the donor, the nonprofit facility's board, or any other nonrelated organization, to the purchase or replacement of capital assets.
D. Construction period interest expense must be capitalized as a part of the cost of the physical plant. The period of construction extends to the earlier of either the first day a medical assistance recipient resides in the facility, or the date the facility is certified to receive medical assistance recipients, except that the period of construction cannot extend beyond the date on which the project is complete. A project is complete when a certificate of occupancy is issued or, if a certificate of occupancy is not required, when the project is available for use.
E. Interest expense for capital debts entered into after December 31, 1983, shall be allowed for the portion of the capital debt which together with all other outstanding capital debts does not exceed 100 percent of the historical capital cost of the facility's capital assets subject to the limitations in item H and subpart 1, item C.
F. Interest expense for capital debts on capital assets acquired, leased, constructed, or established after December 31, 1983, shall be allowable only for the portion of the capital debt which does not exceed 80 percent of the historical capital cost of the capital asset including points, financing charges, and bond premiums or discounts subject to the limitations in item H and subpart 1, item C.
G. Changes in interest expense, except increases in interest expense due to refinancing of existing capital debts, or changes in ownership, shall be allowed in the calculation of the total payment rate for the rate year following the reporting year in which the cost was incurred. Changes in interest expense due to refinancing of existing capital debts, changes in ownership, or reorganization of provider entities, shall be subject to subitems (1) to (4).
H. For purposes of parts 9553.0010 to 9553.0080, the cost of land purchased prior to January 1, 1984, shall be limited according to laws and rules effective on December 31, 1983. The cost of land purchased on or after January 1, 1984, shall be limited to $3,000 per licensed bed.
I. Interest expense incurred as a result of a capital debt or working capital loan between related organizations shall not be an allowable cost, except as in item B.
J. Except as provided in item D, capital debt related financing charges including points, origination fees, and legal fees shall be amortized over the term of the capital debt.
Subp. 4. Computation of property related payment rate.
The commissioner shall determine the property related payment rate according to items A to C.
A. The number of capacity days is determined by multiplying the number of licensed beds in the facility by the number of days in the facility's reporting year. For rate years beginning on or after October 1, 1988, a facility that has reduced its licensed bed capacity after January 1, 1988, may, for the purpose of computing the property related payment rate under this subpart, establish its capacity days for each rate year following the licensure reduction based on the number of beds licensed on the previous August 1, provided that the commissioner is notified of the change by August 4. The notification must include a copy of the delicensure request that has been submitted to the commissioner of health.
B. The commissioner shall compute the allowable property related costs by reviewing and adjusting the facility's property related costs incurred during the reporting year by applying parts 9553.0010 to 9553.0080. The facility's property related per diem shall be determined by dividing its allowable property related costs by 96 percent of the capacity days. For facilities with 15 or fewer licensed beds, the commissioner shall use the lesser of 96 percent of licensed capacity days or resident days, except that in no case shall resident days be less than 85 percent of licensed capacity days.
C. The facility's property related payment rate shall be determined by adding the amount in item B, and the capital debt reduction allowance in subpart 5, or the allowance in subpart 7, item F.
Subp. 5. Capital debt reduction allowance.
A provider whose facility is not leased or a facility which is leased from a related organization shall receive a capital debt reduction allowance. The amount of the capital debt reduction allowance and the reduction of capital debt required must be determined according to items A to G.
A. The total amount of the capital debt reduction allowance and the portion of that amount which must be applied to reduce the provider's capital debt shall be determined according to the following table:
B. Except as provided in subpart 7, item F, the provider's percentage of equity in the facility shall be determined by dividing equity by total allowable historical capital cost of capital assets.
C. Each reporting year, the provider shall reduce the capital debt at the end of the reporting year by an amount equal to the portion of the capital debt reduction allowances paid during the reporting year which must be applied to reduce capital debt multiplied by the prorated resident days corresponding to each capital debt reduction allowance paid during the reporting year.
D. The amount of reduction of capital debt computed in item A, must be in addition to the normal required principal payments on the capital debt to be reduced.
E. The amount of reduction of capital debt computed in item C must be applied first to reduce the principal on the allowable portion of any capital debt on which the provider is only required to pay interest expense. The remaining portion of the amount shall be applied to reduce other allowable capital debt starting with the capital debt which had the highest amount of interest expense during the reporting year.
F. If prepayment of a capital debt is prohibited by the funding source and the provider does not have any other capital debts, the portion of the capital debt reduction allowance which must be applied to reduce capital debt shall be applied first to the reduction of any working capital loans; the balance shall be deposited in the funded depreciation account. If prepayment of the capital debt results in the imposition of a prepayment penalty by the funding source, a portion of the capital debt reduction allowance which must be applied to reduce capital debt may be used to pay that penalty and the remainder may be used to reduce capital debt or the entire portion of the capital debt reduction allowance to be used to reduce capital debt may be deposited in the funded depreciation account.
G. For purposes of determining the provider's property related payment rate for the facility, only capital debt interest expense resulting from allowable capital debt reduced in accordance with items C to F shall be allowed.
Subp. 6. Energy conservation incentive.
The commissioner shall approve requests for exceptions to subpart 3, item F, and part 9553.0035, subpart 8, for initiatives designed to reduce the energy usage of the facility. The requests must be accompanied by an energy audit prepared by a professional engineer or architect registered in Minnesota, or by an auditor certified under part 7635.0130 to do energy audits. The cost of the energy audit is an allowable operating cost and must be classified in the plant operations and maintenance cost category. Energy conservation measures identified in the energy audit that:
A. have a payback period equal to or less than 36 months and a total cost not exceeding $1 per resident day shall be exempt from subpart 3, item F and part 9553.0035, subpart 8; or
B. have a payback period greater than 36 months or have a total cost in excess of $1 per resident day shall be exempt from subpart 3, item F.
Subp. 7. Reimbursement of lease or rental expense.
The provider or provider group's lease or rental costs shall be determined according to items A to H.
A. Lease or rental costs of depreciable equipment shall be allowed if:
B. Leases or rental agreements shall be considered arms-length transactions unless the lease or rental agreement:
C. The costs of a lease or rental agreement for a facility's physical plant shall be subject to the following limitations:
D. For nonarms-length lease or rental costs disallowed under item C, subitem (1) or (3), the provider shall receive in lieu of the lease or rental costs for the facility's physical plant the applicable depreciation, interest, and other reasonable property related costs incurred by the lessor, such as real estate taxes. Depreciation and interest shall be established in accordance with subparts 1 to 5, and shall be based on the lessor's historical capital cost of the capital assets and historical capital debt.
E. The present value of the lease or rental payments allowed in item A, subitem (2) and item C, subitems (2), (3), and (4) together with the historical capital cost of all other capital assets used by the facility shall not exceed the limitations in subpart 1, item C, and subpart 3, item H. The present value of the lease or rental payments must be calculated exclusive of real estate taxes and other costs assumed by the lessor. The interest rate used in calculating the present value of the lease or rental payments shall be the lessor's interest rate subject to the limits in subpart 2. If the lessor's interest rate is not provided by the lessor, the commissioner shall use the interest rate limit established by the rule in effect on the date the lease or rental agreement became effective.
F. Providers with physical plant lease or rental costs disallowed under item C, subitem (1) if such a disallowance was the result of a less than arms-length agreement under item B, subitem (3) may receive the capital debt reduction allowance as in subpart 5 except that for purposes of computing the percentage of equity in subpart 5, the lessor and the lessee's historical capital costs of capital assets in the facility and the related historical capital debt must be used.
G. Facilities which lease capital assets from related organizations must fund depreciation in accordance with subpart 1, item E.
H. Parts 9553.0010 to 9553.0080 shall be used to determine the allowable property related cost for facilities which have lease or rental agreements and subsequently purchase the same capital asset. In no case shall the allowed property related costs on the purchased capital asset exceed the annual cost allowed for the lease or rental agreement prior to the sale under parts 9553.0010 to 9553.0080.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; 11 SR 2408; 12 SR 2104; 17 SR 784
Minn. R. 9553.0061 Life Safety Code Adjustment
Subpart 1. Determination of adjustment.
Adjustments to the special operating cost payment rate for actions taken to comply with the Code of Federal Regulations, title 42, section 442.508, as amended through October 1, 1986, shall be determined under subparts 2 to 9.
Subp. 2. Conditions.
The commissioner shall allow an adjustment to a facility's special operating cost payment rate when the state fire marshal has issued a statement of deficiencies to the facility under the Code of Federal Regulations, title 42, section 442.508, as amended through October 1, 1986, if the criteria in items A to D are met.
A. The physical plant for which the statement of deficiencies was issued has 16 or fewer licensed beds.
B. The commissioner has determined that the most programmatically sound and cost-effective means of correcting the deficiencies is to modify the physical plant or add depreciable equipment.
C. The cost of the physical plant modification or additional depreciable equipment cannot be covered by reallocating facility staff and costs including funds accumulated in the facility's funded depreciation account and other savings or investment accounts of the provider.
D. The provider has complied with the requirements in subparts 3 and 4.
Subp. 3. Request for life safety code adjustment.
The provider shall submit to the commissioner a written request for a life safety code adjustment to the special operating cost payment rate. The request must include:
A. a copy of the state fire marshal's statement of deficiencies;
B. a copy of the facility's plan of correction approved by the state fire marshal; and
C. a description of the type of physical plant modifications or additional depreciable equipment required to meet the approved plan of correction including the estimated cost based on bids developed in accordance with subpart 4.
Subp. 4. Bid requirements.
Bids must be obtained from nonrelated organizations. Only the costs of items required to correct the deficiencies may be included in a bid. Each bid must include:
A. a detailed description of the physical plant modifications needed to correct the deficiencies;
B. the cost of any depreciable equipment needed to correct the deficiencies;
C. the cost of materials and labor; and
D. the name, address, and phone number of the bidder. If the commissioner determines that the bid submitted by the provider is excessive or includes items not required to correct the deficiencies, the commissioner may require a second bid and may recommend another organization that must supply the bid. This subpart shall not apply to a facility that has implemented a plan of correction before July 6, 1987.
Subp. 5. Evaluation of documents submitted.
The commissioner shall evaluate the documents submitted under subpart 3. If the commissioner determines that the plan of correction is not programmatically sound or cost-effective, the commissioner may require the facility to submit an alternative plan of correction to the state fire marshal for approval. If the state fire marshal approves the alternative plan of correction, the commissioner may require the facility to resubmit bids under subpart 4.
Subp. 6. Computation of life safety code adjustment.
If the request meets the criteria in subparts 2 to 5, the commissioner shall compute the life safety code adjustment to the special operating cost payment rate under items A to E.
A. Upon completion of the physical plant modifications and purchase of the additional depreciable equipment, the facility shall submit copies of invoices showing the total cost of the physical plant modifications and additional depreciable equipment to the commissioner.
B. The commissioner shall allow the lesser of the amount in item A or the final bid approved by the commissioner. The amount allowed shall be reduced by 75 percent of the funded depreciation that may be withdrawn for purchase or replacement of capital assets or payment of capitalized repairs as determined in part 9553.0060, subpart 1, item E, subitem (4), and other savings or investment accounts of the provider or the provider group.
C. If a facility is financed by the Minnesota Housing Finance Agency, the facility must use amounts deposited in the development cost escrow account required by the Minnesota Housing Finance Agency to purchase physical plant modifications or additional depreciable equipment allowed under this part. The amount withdrawn from the development cost escrow account must be reimbursed to the facility as provided in subpart 7. The facility must use the reimbursement to replace the amount withdrawn from the development cost escrow account as required by the Minnesota Housing Finance Agency.
D. If the amount determined in item B is less than $500 per licensed bed, the amount must be divided by the resident days from the cost report that was used to set the facility's total payment rate in effect on the date the statement of deficiencies was issued.
E. If the amount determined in item B is equal to or greater than $500 per licensed bed, the amount in excess of $500 per licensed bed must be reimbursed during the rate year following the rate year in which the statement of deficiencies was issued. The amount in excess of $500 per licensed bed must be divided by the resident days from the cost report that was used to set the facility's total payment rate for the rate year following the rate year in which the statement of deficiencies was issued.
Subp. 7. Adjustment of special operating cost payment rate.
If the amount in subpart 6, item B or C, is greater than zero, the commissioner shall adjust the facility's special operating cost payment rate under items A and B.
A. The per diem amount in subpart 6, item D, must be added to the facility's special operating cost payment rate for the rate year identified in subpart 6, item D, and will be effective on the first day of that rate year.
B. The per diem amount in subpart 6, item E, must be added to the facility's special operating cost payment rate for the rate year identified in subpart 6, item E, and shall be effective on the first day of that rate year.
Subp. 8. Reimbursement limits.
If a life safety code adjustment to the special operating cost payment rate is allowed under this part, the cost of the physical plant modifications and additional depreciable equipment allowed in subpart 6, item B, must not be claimed for reimbursement under other provisions of parts 9553.0010 to 9553.0080. The cost of the physical plant modifications and additional depreciable equipment not allowed under subpart 6, item B, shall be capitalized and depreciated in accordance with part 9553.0060, subpart 1.
Subp. 9. Changes in one time adjustment.
If a facility has been given a one time adjustment under part 9553.0050, subpart 3, and the commissioner determines under subpart 2, item A, that the life safety code deficiency should be corrected under this part, the facility's one time adjustment or the portion of that one time adjustment that related to the life safety code deficiency shall be subtracted from the facility's total payment rate on the date the life safety code adjustment under this part is effective. If more than 50 percent of the one time adjustment is subtracted from the facility's total payment rate under this subpart, the facility may apply for another one time adjustment within the three year period established in part 9553.0050, subpart 3, item G.
History
- Statutory Authority: MS s 256B.501
- History: 11 SR 2408
Minn. R. 9553.0070 Determination of Total Payment Rate
Subpart 1. Total payment rate.
The total payment rate must be the sum of the total operating cost payment rate, the special operating cost payment rate, and the property related payment rate.
Subp. 2. Limitations to total payment rate.
The total payment rate must not exceed the rate paid by private paying residents for similar services for the same period. This limit does not apply to payments made by the commissioner for approved services for very dependent persons with special needs under parts 9510.1020 to 9510.1140.
Subp. 3. Respite care payment rate.
Rates charged for respite care must be identified separately. The respite care payment rate may be different than the total payment rate established by the commissioner if the services provided to the respite care resident are not similar to services provided to other facility residents for the same period.
Subp. 4. Adjustment to total payment rate for phase-in of common reporting year.
A facility whose total payment rate established for the rate year beginning during calendar year 1985, will be in effect for a period greater than 12 months due to the phase-in of a common reporting year, shall receive for the months over 12 months, its total payment rate increased by the prorated annual percentage change in the all urban consumer price index (CPI-U) for Minneapolis/St. Paul as published by the Bureau of Labor Statistics between January 1984 and January 1985, new series index (1967=100). That adjusted total payment rate shall be in effect until September 30, 1986. This adjusted total payment rate must not be in effect for more than nine months.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298
Minn. R. 9553.0075 Rate Setting Procedures for Newly Constructed or Newly Established Facilities or Approved Class a to Class B Conversions
Subpart 1. Interim payment rate.
A provider may request an interim payment rate for a newly constructed or newly established facility or for a facility converting more than 50 percent of its licensed beds from Class A beds to Class B beds provided that the conversion is approved by the commissioner. To receive an interim payment rate, the provider must submit a projected cost report in compliance with parts 9553.0010 to 9553.0080 to the extent applicable, for the year in which the provider plans to begin operation or plans to convert beds. Parts 9553.0050, subpart 1, item A, subitems (2), (3), and (4); subpart 2, item E; and subpart 3; and part 9553.0060, subpart 6 shall not apply to interim payment rates. The interim property related payment rate must be determined using projected resident days but not less than 80 percent of licensed capacity days. The effective date of the interim payment rate for a newly constructed or newly established facility must be the later of the first day a medical assistance recipient resides in the newly constructed or established bed or the date of medical assistance program certification. The effective date of the interim payment rate for a facility converting more than 50 percent of its licensed beds from Class A beds to Class B beds must be the later of the date on which 60 percent of the converted beds are occupied by residents requiring a Class B bed as determined by the commissioner or the date on which the beds are licensed as Class B beds by the Minnesota Department of Health. Prior to the effective date of the interim payment rate, the provider may submit a request to update the interim rate. After the effective date of the interim payment rate, no adjustments shall be made in the interim payment rate until settle up.
Subp. 2. Interim payment rate settle up.
The interim payment rate must not be in effect more than 17 months. When the interim payment rate begins between August 1 and December 31, the facility shall file settle up cost reports for the period from the beginning of the interim payment rate through December 31 of the following year. When the interim payment rate begins between January 1 and July 31, the facility shall file settle up cost reports for the period from the beginning of the interim payment rate to the first December 31 following the beginning of the interim payment rate.
A. An interim payment rate established on or before December 31, 1985, is subject to retroactive upward or downward adjustment based on the settle up cost report and according to rules in effect when the interim rate was established.
B. An interim payment rate established on or after January 1, 1986, is subject to retroactive upward or downward adjustment based on the settle up cost report and in accordance with parts 9553.0010 to 9553.0080 except that:
Subp. 3. Total payment rate for nine-month period following settle up period.
For the nine-month period following the settle up reporting period, the total payment rate must be determined according to items A to C.
A. The allowable historical operating cost per diems must be determined in accordance with parts 9553.0010 to 9553.0080 except that:
B. The special operating cost payment rate must be determined by dividing the allowable historical special operating costs by the greater of resident days or 85 percent of licensed capacity days.
C. The property related payment rate must be determined according to parts 9553.0010 to 9553.0080.
Subp. 4. Payment rate during the first rate year following the interim rate period.
The first total payment rate for the first rate year after the end of the interim rate period must be based on the settle-up cost report and must be calculated as in subpart 3, except that the allowable historical operating cost per diems shall be adjusted in accordance with part 9553.0050, subpart 2, item A.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298; 11 SR 2408; 12 SR 1711
Minn. R. 9553.0080 Appeal Procedures
Subpart 1. Scope of appeals.
A decision by the commissioner may be appealed by the provider, provider group, or a county welfare or human services board if the following conditions are met:
A. the appeal, if successful, would result in a change to the facility's total payment rate;
B. the appeal arises from application of parts 9553.0010 to 9553.0080, 12 MCAR SS 2.05301-2.05315 [Temporary] or parts 9510.0500 to 9510.0890; and
C. the dispute over the decision is not resolved informally between the commissioner and the appealing party within 30 days of filing the written notice of intent to appeal under subpart 2, item A.
Subp. 2. Filing of appeals.
To be effective, an appeal must meet the following criteria:
A. The provider, provider group, or county welfare or human services board must notify the commissioner in writing of its intent to appeal within 30 days of receiving the total payment rate determination or decision which is being appealed. A written appeal must be filed with the commissioner within 60 days after receiving the total payment rate determination or decision which is being appealed.
B. The appeal must specify:
Subp. 3. Resolution of appeal.
The appeal shall be heard under the contested case provisions in Minnesota Statutes, sections 14.57 to 14.62 and parts 1400.5100 to 1400.8300. Upon agreement of both parties, the dispute may be resolved informally through any informal dispute resolution method such as settlement, mediation, or modified appeal procedures established by agreement between the commissioner and the chief administrative law judge.
Subp. 4. Payment rate during appeal period.
Notwithstanding any appeal filed under parts 9553.0010 to 9553.0080, the total payment rate established by the commissioner shall be the total payment rate paid to the provider while the appeal is pending.
Subp. 5. Payments after resolution of appeal.
Upon resolution of the appeal any overpayments or underpayments shall be paid under part 9553.0041, subpart 13.
Subp. 6. Appeal expenses.
Expenses incurred in the appeal or for individual items under appeal will be reimbursed to the provider to the extent that:
A. the provider is successful on each disputed item appealed; and
B. this amount is not in excess of limits determined under parts 9553.0010 to 9553.0080.
History
- Statutory Authority: MS s 256B.501
- History: 10 SR 1298
Chapter 9555 SOCIAL SERVICES FOR ADULTS
Minn. R. 9555.0100 Statutory Authority
Parts 9555.0100 to 9555.1600 are enacted pursuant to the statutory authority vested in the Minnesota Board on Aging pursuant to Laws 1976, chapter 323, establishing a senior companion program to engage the services of low-income persons aged 60 or over to provide supportive person-to-person assistance in health, education, welfare, and related fields primarily to adults with disabilities and elderly people living in their own homes.
History
- Statutory Authority: MS s 256.977
- History: L 2005 c 56 s 2
Minn. R. 9555.0200 Purpose
The purpose of the senior companion program (SCP) is to provide meaningful part-time volunteer opportunities for low-income older persons to render supportive person-to-person services to adults with special or exceptional needs in health, education, welfare, and related fields. The services are intended primarily for persons in their own homes, but those in group homes, nursing homes, or other public or private nonprofit institutions or agencies, providing care for adults with disabilities or elderly persons may also be served.
History
- Statutory Authority: MS s 256.977
- History: L 2005 c 56 s 2
Minn. R. 9555.0300 Definitions
Subpart 1. Board on Aging.
"Board on Aging" means a board established pursuant to Minnesota Statutes, sections 256.975 and 256.976, previously titled and known as the Governor's Citizens Council on Aging.
Subp. 2. Memo of understanding.
"Memo of understanding" means a written agreement between sponsor and person to be served, appropriate caretaker, or an authorized official of a volunteer station that specifies working relationships, channels of communication, and means of cooperation between the parties to the agreement.
Subp. 3. Persons to be served.
"Persons to be served" means persons with disabilities and older people who receive the supportive person to person assistance of the volunteer senior companions.
Subp. 4. Project advisory council.
"Project advisory council" means the council established pursuant to these parts to advise and assist the sponsors on matters of planning, community participation, and financial support.
Subp. 5. Project sponsor.
"Project sponsor" means the agency or organization awarded the grant and the authority to administer the senior companion program in a specified area pursuant to this rule.
Subp. 6. Volunteer.
"Volunteer" as used herein, means a person who proffers his or her time and efforts in supportive person-to-person services as a senior companion (SC) volunteer for an agreed-upon stipend.
Subp. 7. Volunteer station.
"Volunteer station" means a private home, public or private nonprofit agency, institution, or organization, or proprietary health care organization or facility, in which or through which persons to be served by senior companion services are found, or made accessible to these services.
History
- Statutory Authority: MS s 256.977
- History: L 2005 c 56 s 2
Minn. R. 9555.0400 Sponsor
To become the sponsor of an SC project for a community, an organization shall submit a grant application, consistent in form and content with these rules, to the Board on Aging for funds to develop and operate an SC project. In order to receive a grant, it is required that the potential sponsor shall:
A. be a public or private nonprofit agency or organization with the authority to accept and administer such grants;
B. agree to administer the project in accordance with state legislation and rules, policies, and procedures, and the conditions of the grant award set forth by the Board on Aging;
C. accept full responsibility in the community for the development, implementation, management, and funding of the project;
D. not be a volunteer station; and
E. provide written assurances that the project will be conducted in consultation with, or with the participation of, an area agency on aging, the regional coordinating agent of the board. Applications to provide senior companion services to individuals in their homes shall have priority over applications to provide services to those in group homes or institutions.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.0500 Scp Advisory Council
A project advisory council shall be established by the sponsor to meet regularly in order to advise and assist the sponsor on matters concerning planning, community participation, and financial support, and project policies and operational issues.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.0600 Service Area
An SC project shall have an exclusive, geographically defined, service area from which senior companion volunteers are recruited and in which they serve. The service area will be identified in the approved project plan and may not be redefined without the prior written approval of the Board on Aging.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.0700 Volunteer Stations
Volunteer stations shall be within the project's geographical service area as defined in the approved grant application.
Each facility serving as a volunteer station, shall be licensed or otherwise certified by the appropriate state or local licensing authority.
A volunteer station shall not request or receive any compensation for services of senior companions supervised by it.
A volunteer station shall not be a project sponsor.
Assignment of senior companions to private homes will be made only with concurrence of the project director and after a memo of understanding has been obtained from the person to be served or an appropriate caretaker.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.0800 Eligibility of Senior Companions
Subpart 1. Requirements.
To be eligible for enrollment as a volunteer, senior companions shall:
A. be 60 years of age or over;
B. have an annual income at or below the applicable income eligibility level as established by the board;
C. no longer be in the regular work force; and
D. have a physical examination and report adjudging them fit for duty.
Subp. 2. Computing annual income.
In computing combined annual income of married couples prior to enrolling them both as senior companions, one senior companion stipend must be included in the determination of maximum annual income.
Subp. 3. Discrimination prohibited.
There are no enrollment barriers for senior companions relating to experience, education, race, sex, creed, national origin, or political affiliation.
Subp. 4. Termination.
After enrollment as a senior companion, no person shall be terminated as a result of change in eligibility requirements, nor as a result of a change in income, marital status, or number of dependents.
History
- Statutory Authority: MS s 256.977
- History: 17 SR 1279
Minn. R. 9555.0900 Service Schedule
Subpart 1. Maximum compensation.
Senior companions shall be compensated for no more than 20 hours a week, in accordance with the schedule of the persons being served, as approved in the grant application. Exceptions to the service schedule authorized by the grant award may be made by the sponsor for unusual situations but only with the concurrence of the Board on Aging in the form of a project amendment. Twenty hours a week may not be exceeded.
Subp. 2. Personnel policies.
Personnel policies for the senior companion's insurance, vacation, sick leave, holiday, etc., shall be consistent with those of the sponsor and be developed in consultation with the project advisory council.
Subp. 3. Transportation time.
Time required for transportation between the senior companion's home and the volunteer station shall not be considered a part of the service schedule. When persons are served in their own homes, transportation time between two or more such assignments is considered part of the service schedule.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.1000 Adults Served
Senior companions may provide frequent supportive person-to-person services on a regular schedule to adults with exceptional needs, especially older persons living in their own homes, in nursing homes, and in other institutions. Persons to be served include, but are not limited to, adults receiving home health care and nursing care and those with developmental disabilities.
Volunteer stations, with concurrence of project staff, select the adults in need of individual attention, and project staff, with concurrence of the volunteer station, assigns senior companions to the adults.
Statewide and in each project, at least 50 percent of the persons served by senior companions shall be age 60 or older.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.1100 Responsibilities of the Board on Aging
Pursuant to the intent of the Senior Companion Act and parts 9555.0100 to 9555.1600, the Board on Aging shall, from time to time, develop and promulgate interpretive guidelines and forms for the administration of uniform and equitable procedures in setting or revising:
A. the level of maximum annual income for determination of eligibility of senior companions, consistent with changing costs of living and the levels prescribed for other federal and state programs using volunteer stipends;
B. service areas for SCP projects consistent with the availability of funds and coordination with other federal and state programs for older people and people with disabilities;
C. levels of stipend, insurance protection, travel expense, or other expenditures that must vary with costs and that are not otherwise prescribed in law or these rules; and
D. the provision of technical assistance by the state and area agencies on aging to senior companion projects.
History
- Statutory Authority: MS s 256.977
- History: L 2005 c 56 s 2
Minn. R. 9555.1200 Cost Sharing
The state will fund up to 90 percent of an approved project budget. Ten percent or more of the total approved budget shall be provided locally by or through the sponsor in the form of cash or in kind contributions. Actual local expenditures must reach at least the percentage of nonstate support identified in the acceptance of the grant award. Sponsors will be encouraged to increase nonstate support of the project beyond minimum requirements.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.1300 Grant Awards
Grant awards made by the Board on Aging:
A. shall be for one year or less;
B. shall not be used to match other state funds; and
C. shall not be used to replace any staff members of the grantee.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.1400 Grant Application
Grant applications must specify the geographic area to be served, the number of persons and the kinds of disabilities expected to be served, and the numbers of senior companions to be used, together with the kinds of service they are expected to provide. Project expenditures must be restricted to the persons and services specified for that area.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.1500 Suspension or Termination of Payments
The Board on Aging may suspend further payments to a sponsor or terminate payments under a grant when there is a material failure to comply with its terms and conditions. However, no grant may be terminated without reasonable notice to the sponsor and an opportunity for a full and fair hearing. Suspension, except in emergency situations, as well as the denial of an application for refunding (continuation grant), will only take place after the sponsor has been given reasonable notice and an opportunity to show cause why such an action should not be taken.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.1600 Records and Reports
A record keeping system shall be established by each project to allow for collection and storage of information on senior companions, their assignments, volunteer stations, and other necessary information, including senior companion and project costs.
A semiannual report shall be filed with the Board on Aging.
History
- Statutory Authority: MS s 256.977
Minn. R. 9555.2100 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.2200 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.2300 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.3100 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.3200 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.3300 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.3400 [Renumbered 9500.1206]
[Renumbered 9500.1206]
Minn. R. 9555.3401 [Repealed, 10 SR 1715]
[Repealed, 10 SR 1715]
Minn. R. 9555.3402 [Renumbered 9500.1249]
[Renumbered 9500.1249]
Minn. R. 9555.3403 [Repealed, 10 SR 1715]
[Repealed, 10 SR 1715]
Minn. R. 9555.3404 Repealed by subpart
Subpart 1.
[Repealed, 10 SR 1715]
Subp. 2.
[Repealed, 9 SR 593]
Subp. 3.
[Repealed, 9 SR 593]
Subp. 4.
[Repealed, 9 SR 593]
Subp. 5.
[Repealed, 9 SR 593]
Subp. 6.
[Repealed, 9 SR 593]
Subp. 7.
[Repealed, 9 SR 593]
Subp. 8.
[Repealed, 9 SR 593]
Subp. 9.
[Repealed, 9 SR 593]
Subp. 10.
[Repealed, 9 SR 593]
Minn. R. 9555.3405 [Repealed, 9 SR 593]
[Repealed, 9 SR 593]
Minn. R. 9555.3406 [Repealed, 10 SR 1715]
[Repealed, 10 SR 1715]
Minn. R. 9555.3407 [Repealed, 9 SR 593]
[Repealed, 9 SR 593]
Minn. R. 9555.3408 [Renumbered 9500.1250]
[Renumbered 9500.1250]
Minn. R. 9555.3409 [Renumbered 9500.1252]
[Renumbered 9500.1252]
Minn. R. 9555.4100 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.4200 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.4300 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.4400 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.4500 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.4600 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.4700 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.4800 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.4900 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.5000 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.5010 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9555.5050 Repealer and Effective Dates
Subpart 1. Repealer.
Minnesota Rules, parts 9555.6100, 9555.6200, 9555.6300, and 9555.6400 are repealed August 3, 1987, except as parts 9555.6100 to 9555.6400 apply to operators of adult foster homes providing care and approved by the county board under part 9555.6400 on August 3, 1987. As to the operators of those adult foster homes, parts 9555.6100, 9555.6200, 9555.6300, and 9555.6400 are repealed July 27, 1988.
Subp. 2. Effective date.
Minnesota Rules, parts 9555.5105 to 9555.6265 take effect August 3, 1987, except for the operators of those adult foster homes providing care and approved by a county welfare board under part 9555.6400 on August 3, 1987. As to the operators of those adult foster homes, parts 9555.6105 to 9555.6265 take effect January 27, 1988, or on the day after an operator's current period of approval under part 9555.6400 expires, whichever is later.
History
- Statutory Authority: MS s 245A.09; 256.01; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148
Minn. R. 9555.5100 [Repealed, 12 SR 148]
[Repealed, 12 SR 148]
Minn. R. 9555.5105 Definitions
Subpart 1. Scope.
As used in parts 9555.5105 to 9555.6265 the following terms have the meanings given them.
Subp. 2. Adult.
"Adult" means a person at least 18 years of age.
Subp. 3. Adult foster care.
"Adult foster care" means the provision of food, lodging, protection, supervision, and household services to a functionally impaired adult in a residence and may also include the provision of personal care, household and living skills assistance or training, medication assistance under part 9555.6225, subpart 8, and assistance safeguarding cash resources under part 9555.6265.
Subp. 4. Adult foster care services.
"Adult foster care services" means those community social services that are provided to residents or prospective residents of adult foster homes.
Subp. 5. Adult foster home.
"Adult foster home" means a residence operated by an operator who, for financial gain or otherwise, provides 24-hour foster care to no more than four functionally impaired residents and a residence with five or six residents as authorized under Minnesota Statutes, section 245A.11, subdivision 2a.
Subp. 6. Applicant.
"Applicant" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 3.
Subp. 7. Building official.
"Building official" means a person appointed in accordance with Minnesota Statutes, section 326B.133, to administer the state building code or the building official's authorized representative.
Subp. 8. Caregiver.
"Caregiver" means an adult who meets the qualifications in part 9555.6125, subpart 4, and gives care to a resident in an adult foster home.
Subp. 9. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's authorized representative.
Subp. 10. County board.
"County board" means the county board of commissioners in each county. When a human services board has been established under Minnesota Statutes, sections 402.02 to 402.10, it shall be considered to be the county board.
Subp. 11. County of financial responsibility.
"County of financial responsibility" means the county responsible for paying for foster care services for a resident under Minnesota Statutes, section 256G.02, subdivision 4.
Subp. 12. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 13. Fire marshal.
"Fire marshal" means the person designated by Minnesota Statutes, section 299F.011, to administer and enforce the Minnesota Uniform Fire Code or the fire marshal's authorized representative.
Subp. 14. Functionally impaired.
"Functionally impaired" means a person who has:
A. substantial difficulty carrying out one or more of the essential major activities of daily living, such as caring for oneself, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning, or working; or
B. a disorder of thought or mood that significantly impairs judgment, behavior, capacity to recognize reality, or ability to cope with the ordinary demands of life.
Subp. 15. Health authority.
"Health authority" means the designated representative of the community health board as defined in Minnesota Statutes, section 145A.02, subdivision 5, to enforce public health codes.
Subp. 16. Household member.
"Household member" means any person living in the adult foster home more than 30 consecutive calendar days in any 12 month period who is not a resident.
Subp. 17. Household services.
"Household services" means activities taught to or performed by a caregiver for a resident such as cooking, cleaning, budgeting, and other household care or maintenance tasks.
Subp. 18. Individual service plan.
"Individual service plan" means the written plan agreed upon and signed by the county of financial responsibility and the resident or resident's legal representative for the provision of social services. For persons with a developmental disability or otherwise determined eligible for case management, it means the plan agreed upon and signed under parts 9525.0004 to 9525.0036.
Subp. 19. Individual resident placement agreement.
"Individual resident placement agreement" means the written document specifying the terms for provision of foster care to an adult that is developed under part 9555.5705 for persons receiving services under parts 9525.0004 to 9525.0036 or under part 9555.6167 for persons not receiving community social services or services for persons with a developmental disability. The individual resident placement agreement must:
A. describe the reason for placement;
B. describe what the operator must provide in the areas of lodging, food, protection, household or living skills training or assistance, personal care assistance, assistance safeguarding cash resources, transportation, residence accessibility modifications, medication assistance, and supervision;
C. describe who is financially responsible for the payment of the foster care provided by the operator;
D. describe any other community, health and social services that the operator will assist in providing;
E. coordinate with the contents of the individual program plan as defined under part 9525.0004, subpart 11, for persons with a developmental disability; and
F. coordinate with the individual service plan developed under parts 9525.0004 to 9525.0036.
Subp. 20. Legal representative.
"Legal representative" means a person appointed by the court as a guardian or conservator of an adult under Minnesota Statutes, sections 525.539 to 525.6198 or chapter 252A, or a health care agent appointed by a principal in a health care power of attorney to make health care decisions as provided in Minnesota Statutes, chapter 145C.
Subp. 21. License.
"License" means a certificate issued by the commissioner authorizing the operator to give specified services for a specified period in accordance with parts 9555.6105 to 9555.6265 and Minnesota Statutes, sections 245A.01 to 245A.16 and 252.28, subdivision 2. License includes a provisional license issued to an operator who is temporarily unable to comply with the requirements for a license.
Subp. 22. Licensed capacity.
"Licensed capacity" means the maximum number of functionally impaired adults who may receive foster care in the adult foster home at any one time.
Subp. 23. Living skills assistance.
"Living skills assistance" means activities taught or performed to assist the resident to use services, transportation, recreation, and social opportunities available in the community.
Subp. 24. Local agency.
"Local agency" means the county or multicounty social service agency governed by the county board or multicounty human services board of the county in which the adult foster home is located. If the local agency is also providing foster care services to the resident, then the local agency is also the service agency defined in subpart 34.
Subp. 25. Medication.
"Medication" means a prescription substance taken internally, applied externally, or injected to prevent or treat a condition or disease, heal, or relieve pain.
Subp. 26. Minnesota State Fire Code.
"Minnesota State Fire Code" means those codes and regulations adopted by the fire marshal under chapter 7511 and Minnesota Statutes, section 299F.011.
Subp. 27. Operator.
"Operator" means the individual, partnership, corporation, or governmental unit licensed by the department and legally responsible for the operation of an adult foster home.
Subp. 28. Personal care.
"Personal care" means assistance by a caregiver with or teaching of skills related to activities of daily living such as eating, grooming, bathing, and laundering clothes.
Subp. 29. Protection.
"Protection" means compliance with the Vulnerable Adults Act.
Subp. 30. Related.
"Related" has the meaning given to "individual who is related" in Minnesota Statutes, section 245A.02, subdivision 13.
Subp. 31. Residence.
"Residence" means the single dwelling unit in which foster care is provided with complete, independent living facilities for one or more persons. As defined in section 405 of the Minnesota State Building Code, the residence has permanent provisions for living, sleeping, cooking, eating, and sanitation.
Subp. 32. Resident.
"Resident" means a functionally impaired adult residing in an adult foster home and receiving foster care.
Subp. 33. Roomer.
"Roomer" means a household member who is not related to the operator and is not a resident or caregiver.
Subp. 34. Service agency.
"Service agency" means the public or private agency designated by the county of financial responsibility with the responsibility to provide the foster care services in parts 9555.5105 to 9555.5705.
Subp. 35. Social worker.
"Social worker" means a person designated by the local agency or service agency of the county of financial responsibility with credentials meeting the minimum requirements under the Minnesota Merit System classification for social worker or a county personnel system equivalent under Minnesota Statutes, sections 375.56 to 375.71; Laws 1965, chapter 855; and Laws 1974, chapter 435, article 3, who is responsible for coordinating a prospective resident's initial assessment and placement in part 9555.5605 and the development of the individual resident placement agreement for those persons with an individual service plan.
Subp. 36. State Building Code.
"State Building Code" means those codes and regulations adopted by the commissioner of administration under chapter 1300 and Minnesota Statutes, section 326B.101.
Subp. 37. Supervision.
"Supervision" means:
A. oversight by a caregiver as specified in the individual resident placement agreement and daily awareness of a resident's needs and activities; and
B. the presence of a caregiver in the residence during normal sleeping hours.
Subp. 38. Variance.
"Variance" means written permission by the commissioner for an applicant or operator to depart from the provisions of parts 9555.6105 to 9555.6265 if equivalent alternative measures are provided to ensure the health, safety, and rights of a resident.
Subp. 39. Vulnerable Adults Act.
"Vulnerable Adults Act" means Minnesota Statutes, sections 626.557 and 626.5572.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 256.01; 256B.092; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148; L 1987 c 309 s 24, c 333 s 22; 18 SR 2244; L 2003 1Sp14 art 11 s 11; L 2005 c 56 s 2; 30 SR 585; L 2007 c 140 art 4 s 61; art 13 s 4; L 2015 c 21 art 1 s 109
Minn. R. 9555.5200 [Repealed, 12 SR 148]
[Repealed, 12 SR 148]
Minn. R. 9555.5205 Applicability
Parts 9555.5105 to 9555.5705 govern the administration and provision of adult foster care services to residents or prospective residents of adult foster homes by the county board.
History
- Statutory Authority: MS s 256.01; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148
Minn. R. 9555.5300 [Repealed, 12 SR 148]
[Repealed, 12 SR 148]
Minn. R. 9555.5305 Purpose
The purpose of parts 9555.5105 to 9555.5705 is to ensure that a resident or prospective resident of an adult foster home receives an assessment of need for adult foster care, is notified about adult foster care services that are available, and consultation, assistance, and information are provided to applicants or operators of adult foster homes.
History
- Statutory Authority: MS s 256.01; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148
Minn. R. 9555.5400 [Repealed, 12 SR 148]
[Repealed, 12 SR 148]
Minn. R. 9555.5405 Foster Home Development
The local agency shall implement an annual adult foster home recruitment plan specifying a method and timetable for recruiting operators to meet the county's adult foster care needs if adult foster care services to residents or prospective residents of adult foster homes are specified by the county board in the community social services plan.
History
- Statutory Authority: MS s 256.01; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148; L 2003 1Sp14 art 11 s 11
Minn. R. 9555.5415 [Repealed, 15 SR 2105]
[Repealed, 15 SR 2105]
Minn. R. 9555.5505 Local Agency Orientation and Training Role
Subpart 1. Local agency role.
The local agency shall ensure that:
A. the operator and caregivers comply with the orientation and training requirements in part 9555.6185; and
B. the orientation and training in part 9555.6185 is available within the county or within 50 miles of the adult foster home at times convenient to foster home operators.
Subp. 2. Orientation.
The local agency shall provide three hours of orientation to a foster home operator and caregivers prior to the placement of the first resident following initial licensure. The orientation training must include training on requirements of the Vulnerable Adults Act contained in Minnesota Statutes, sections 626.557 and 626.5572; and the general provisions of parts 9555.5105, and 9555.6105 to 9555.6265.
Subp. 3. Information.
The local agency shall identify sources of training that meet the standards in part 9555.6185 and notify the operator of a licensed residence in the county at least once a year of the training opportunities available.
History
- Statutory Authority: MS s 14.386; 14.388; 256.01; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148; 30 SR 585
Minn. R. 9555.5515 Record on the Residence
A record for the residence licensed as an adult foster home shall be maintained by the commissioner and contain:
A. a copy of the completed licensing application form signed by the applicant and the representative of the commissioner, as specified in part 9555.6115, subpart 1;
B. the physician's reports on caregivers and household members specified in part 9555.6125 if the operator is an individual;
C. the initial and subsequent inspection report from the fire marshal specified in part 9555.6125 and the subsequent home safety checklists;
D. any written inspection reports from a health authority or building official;
E. the commissioner's initial and any renewal licensing studies and inspections;
F. any comments of the operator or provider about the licensing studies and inspections;
G. written references from at least three persons who know about the applicant's potential to operate an adult foster home. If the applicant has been licensed through another jurisdiction, the local agency shall also request and keep a reference from the licensing authority in that jurisdiction;
H. a list of residents currently in the residence;
I. a list of residents who have been in the residence in the past five years;
J. documentation of any variances to parts 9555.6105 to 9555.6265;
K. arrest, conviction, and criminal history records on the operator, caregivers, and household members;
L. if the operator is a partnership, corporation, or governmental unit, the information required in part 9555.6125, subpart 3, item C, subitems (1), (2), (3), (6), and (7);
M. a copy of the commissioner approved, written adult foster home program required in part 9555.6235;
N. a record of any substantiated complaints of maltreatment as defined in Minnesota Statutes, section 626.5572, subdivision 15, and any corrective action taken; and
O. a copy of the facility abuse prevention plan required under the Vulnerable Adults Act.
History
- Statutory Authority: MS s 14.386; 14.388; 14.3895; 256.01; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148; 30 SR 585; L 2012 c 216 art 9 s 38; 50 SR 5
Minn. R. 9555.5605 Assessment
Subpart 1. Assessment.
A social worker from the local agency or service agency of the county of financial responsibility shall ensure that a person seeking adult foster home placement has an assessment to determine the person's need for adult foster care.
A. An adult who has or may have a diagnosis of developmental disability shall be assessed under parts 9525.0004 to 9525.0036.
B. An adult requesting adult foster care services shall be assessed.
C. An assessment performed under Minnesota Statutes, section 256B.0911 shall satisfy the provisions of item D.
D. An assessment coordinated by a social worker and review of any information gathered from professionals must be made of the adult's:
Subp. 2. Mobility access assessment.
Before placement, or after placement if the local agency has reasonable cause to believe a mobility access, seizure, or disability problem has developed, the social worker shall determine, in consultation with the prospective resident and the resident's representative and any other person knowledgeable about the resident's needs, whether accessibility aides or modifications to the residence are needed. The need for accessibility aides or modifications to the residence shall be determined for persons with regular seizures or physical disabilities using an accessibility checklist approved by the commissioner in consultation with persons knowledgeable about the accessibility and mobility needs of the resident and persons knowledgeable about accessibility modifications to residential occupancies. A person using a wheelchair must be housed on a level with an exit directly to grade.
Subp. 3. Placement standards.
A person shall be appropriate for adult foster home placement if the person:
A. is an adult;
B. is functionally impaired;
C. has requested, or the adult's legal representative has requested, foster care placement;
D. has demonstrated a need for foster care based on the assessment in subpart 1;
E. does not require continuous medical care or treatment in a facility licensed for acute care under chapter 4640; and
F. has been approved for placement under parts 9525.0004 to 9525.0036, if the adult has a developmental disability.
Subp. 4. Placement and consumer choice.
A person who is appropriate for adult foster home placement, and the person's legal representative must be allowed to choose among between the homes that the social worker determines would meet the person's foster care needs.
Subp. 5. Matching.
When referring the adult seeking foster care to a licensed adult foster home, the social worker shall match the licensing study information and the capacity of the adult foster home program developed by the operator under part 9555.6235 with the assessed needs of the functionally impaired adult determined under part 9555.5605, subparts 1 and 2.
Subp. 6. Preplacement visit.
The social worker shall arrange for the functionally impaired adult to visit the prospective adult foster home before placement, except in cases of emergency placement or placement for less than 30 consecutive days. Before placement, the following shall be discussed with the operator:
A. the needs of the functionally impaired adult as determined by the assessment in part 9555.5605, subparts 1 and 2;
B. the foster care that must be provided by the operator to the adult seeking placement;
C. the adult's need for additional community health and social services and the operator's responsibility in assisting with provision of or access to those services; and
D. the financial arrangements to pay for the adult foster care.
History
- Statutory Authority: MS s 256.01; 256B.092; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148; 18 SR 2244; L 2003 1Sp14 art 11 s 11; L 2005 c 56 s 2; L 2013 c 62 s 32
Minn. R. 9555.5705 Provision of Adult Foster Care Services to Residents of Adult Foster Homes
Subpart 1. Adult foster care service.
When the county board elects to provide adult foster care services, the county board shall offer adult foster care services to the residents or prospective residents of an adult foster home. Adult foster care services may be provided directly by the county of financial responsibility, or by the service agency under a written agreement with the county of financial responsibility, or by another agency under contract to the county of financial responsibility.
Subp. 2. Development of individual resident placement agreement.
If the resident or prospective resident requests and receives adult foster care services, then the service agency shall develop, and the resident, resident's legal representative, and the operator shall agree on and sign an individual resident placement agreement as defined in part 9555.5105, subpart 19. The agreement must be signed within 30 days of placement and be coordinated with the adult's individual service plan as defined in part 9555.5105, subpart 18. The service agency shall give a copy of the individual service plan to the operator. If the resident is appropriate for adult foster home placement and does not require adult foster care services, the individual resident placement agreement shall be developed by the operator, resident, and resident's legal representative under part 9555.6167.
Subp. 3. Placement review for residents with an individual service plan.
The service agency assigned to a resident in an adult foster home with an individual service plan must:
A. visit the resident and operator within 30 days of placement to confirm the appropriateness of the placement;
B. provide consultation services to the operator in meeting the resident's assessed needs;
C. provide a telephone number where caregivers and the resident or resident's legal representative may call for emergency social service assistance 24 hours a day; and
D. assist in developing the individual abuse prevention plan for the resident.
History
- Statutory Authority: MS s 14.3895; 256.01; 256E.03; 256E.05; 256E.08; 393.07
- History: 12 SR 148; L 2003 1Sp14 art 11 s 11; L 2012 c 216 art 9 s 38; 50 SR 5
Minn. R. 9555.6100 [Repealed, 12 SR 148]
[Repealed, 12 SR 148]
Minn. R. 9555.6105 Applicability and Purpose
Parts 9555.5105 and 9555.6105 to 9555.6265, as authorized by Minnesota Statutes, chapter 245A, govern the licensure of the operator of an adult foster home. The purpose of parts 9555.5105 and 9555.6105 to 9555.6265 is to establish procedures and standards for licensure and operation of an adult foster home so minimum levels of care are provided and the health, safety, and rights of residents are assured.
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148; 13 SR 1448
Minn. R. 9555.6115 License Application Process
A license to operate an adult foster home must be obtained from the department under items A to D.
A. Application for a license must be made on the application form issued by the department and must be made in the county where the adult foster home is located.
B. The applicant must be the individual or the authorized representative of the partnership, corporation, or government unit that will be the operator of the adult foster home.
C. Separate licenses are required for residences located at separate addresses, even if the residences are to be operated by the same operator.
D. An application for licensure is complete when the commissioner determines that the department forms and documentation needed for licensure, the inspection, zoning, evaluation, and investigative reports, documentation and information required to verify compliance with parts 9555.5105 and 9555.6105 to 9555.6265 have been submitted by the applicant. The commissioner shall stamp and date a signed and completed department application form on the date of receipt.
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148
Minn. R. 9555.6125 Licensing Study
Subpart 1. Access to residence.
The applicant shall give the commissioner access to the residence to determine compliance with parts 9555.5105 and 9555.6105 to 9555.6265. Access shall include the residence to be occupied as an adult foster home; any adjoining land or buildings owned or operated by the applicant or operator in conjunction with the provision of adult foster care and designated for use by a resident; noninterference in interviewing caregivers, roomers, or household members; and the right to view and photocopy the records and documents specified in parts 9555.6235 and 9555.6245. The commissioner shall have access to the residence at any time during the period of licensure to determine whether the operator is in compliance with parts 9555.5105 and 9555.6105 to 9555.6265.
Subp. 2. Inspections.
The residence must be inspected by a fire marshal within 12 months before initial licensure to verify that the residence is a dwelling unit within a residential occupancy as defined in section 9.117 of the Minnesota Uniform Fire Code and that the residence complies with the fire safety standards for that residential occupancy contained in the Minnesota Uniform Fire Code. A home safety checklist, approved by the commissioner, must be completed by the operator and the commissioner before licensure each year a fire marshal inspection is not made. The residence shall be inspected according to the licensed capacity specified on the initial application form. If the commissioner has reasonable cause to believe that a potentially hazardous condition may be present or the licensed capacity is increased to four residents, the commissioner shall request a subsequent inspection and written report by a fire marshal to verify the absence of hazard. Any condition cited by a fire marshal, building official, or health authority as hazardous or creating an immediate danger of fire or threat to health and safety must be corrected before a license is issued or renewed by the department.
Subp. 3. Study of applicant.
A study of the applicant shall be conducted by the commissioner under items A to D.
A. The applicant shall provide the commissioner with a completed, signed form as required by Minnesota Statutes, chapter 245C, for each caregiver, household member age 13 and over, and each owner, partner, board member, and employee who will be involved in the operation of the adult foster home. The form must disclose the person's full name and all previous or additional names, date of birth, the specific nature of information to be disclosed, who will receive the information, and who will disclose it. The commissioner shall seek the assistance of the Minnesota Bureau of Criminal Apprehension, the county attorney, and sheriff or chief of police in the locality where the person resides in determining the person's arrest, conviction, or criminal history record. If the person has not resided in the state for five years, the form shall also be sent to a national criminal history repository. In the case of a household member who is nine years of age but under the age of 14, the commissioner shall ascertain from the local court of jurisdiction whether the juvenile has been adjudicated as a delinquent for any of the acts specified in subpart 4, item D.
B. The applicant who is an individual shall provide social history information to the commissioner about each household member. "Social history information" means information on education; employment; financial condition; military service; marital history; strengths and weaknesses of household relationships; mental illness; chemical dependency; hospitalizations; involuntary terminations of parental rights; the use of services for developmental disabilities; felony, gross misdemeanor or misdemeanor convictions, arrests or admissions; and substantiated reports of maltreatment.
C. If the applicant is an authorized representative of a partnership, corporation, or governmental unit, the applicant shall make available and maintain the following information:
D. The applicant shall provide the commissioner with the names of three persons not related to the applicant who can supply information about the applicant's ability to operate an adult foster home.
Subp. 4. Qualifications.
Operators, caregivers, and household members must meet the qualifications in items A to G.
A. Operators and caregivers must be adults.
B. [Repealed, L 2009 c 79 art 1 s 21]
C. Operators, caregivers, and household members must agree to disclose the arrest, conviction, and criminal history information specified in subpart 3.
D. Operators, caregivers, and household members must not have a disqualification under Minnesota Statutes, section 245C.15, that is not set aside under Minnesota Statutes, section 245C.22, or for which a variance has not been granted under Minnesota Statutes, section 245C.30.
E. Operators and caregivers must not have a diagnosis of developmental disability and be receiving services under parts 9525.0004 to 9525.0036.
F. [Repealed, L 1991 c 38 s 2]
G. Caregivers and household members must not abuse prescription drugs or use controlled substances as named in Minnesota Statutes, chapter 152, or alcohol, to the extent that the use or abuse has or may have a negative effect on the health, rights, or safety of residents.
Subp. 5. Evaluation for cause.
The commissioner may require, before licensure or at any time during the licensed term of the adult foster home, a physical, mental health, chemical dependency, or criminal history evaluation of the operator, caregiver, or household member if the commissioner has reasonable cause to believe that any of the qualifications or requirements in subpart 4, items A to G have not been met or that the operator or any caregiver cannot care for a resident. Evaluations must be conducted by a professional qualified by license, certification, education, or training to perform the specific evaluation.
Subp. 6. Zoning.
At least 30 days before the initial license issuance date, the commissioner shall notify the local zoning administrator in the jurisdiction where the residence is located of the license application.
Subp. 7. Period of licensure; nontransfer.
A license shall be issued by the commissioner for up to two years when the applicant complies with parts 9555.6105 to 9555.6265. A license is not transferable to another operator or residence.
Subp. 8. Initial license.
An applicant for initial licensure may be granted an initial license by the commissioner for up to two years if the laws and rules cannot be complied with immediately, and if the deviations from parts 9555.6105 to 9555.6265 do not threaten the health, rights, or safety of a resident. All deviations must be corrected within the time specified by the commissioner but not exceeding one year. Failure to correct deviations within the stated time shall be cause for revocation of a license or a fine or both.
Subp. 9. Variance procedure.
An applicant or operator may request a variance from compliance with parts 9555.5105 and 9555.6105 to 9555.6265. A request for a variance must comply with and be handled according to the following procedures:
A. An applicant or operator must submit a written request for a variance to the commissioner. The request must include:
B. An applicant or operator must submit to the commissioner written approval from a fire marshal of the alternative measures identified to ensure the safety of residents when a variance of part 9555.6125, subpart 2, is requested.
C. An applicant or operator must submit to the commissioner written approval from a health authority of the alternative measures identified to ensure the health of residents when a variance of parts 9555.6215 and 9555.6225 is requested.
Subp. 10. Variance standard.
A variance may be granted if:
A. the variance is submitted in accordance with subpart 9;
B. the commissioner does not have reasonable cause to believe the health, rights, or safety of the residents will be threatened;
C. the variance would not be contrary to a standard required by Minnesota Statutes; and
D. a request for variance to subpart 4, item E, has clear and convincing evidence presented by the operator, caregiver, or household member that no threat or harm whatsoever will result to the residents due to the granting of the variance. The commissioner shall consider the nature of the crime committed and amount of time which has elapsed without a repeat of the crime.
Subp. 11. License terms.
A license must show:
A. the licensed capacity of the adult foster home;
B. the expiration date of the license and address of the residence;
C. the name and address of the operator;
D. that the operator is licensed under parts 9555.5105 and 9555.6105 to 9555.6265; and
E. the provisional status of the license, if applicable.
Subp. 12. Change in license terms.
The following shall apply to changes in the terms of licensure:
A. The license issued must not be transferred to another operator, building, or address unless the provisions in item B are followed first.
B. The operator must notify the commissioner and the studies in part 9555.6125 must be completed:
Subp. 13. License review.
Before the expiration of a license, the commissioner must conduct a study of the operator and an inspection of the residence to determine compliance with parts 9555.5105 and 9555.6105 to 9555.6265 at least once every 24 months to determine whether a new license shall be issued.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.04; 245A.09; 256B.092
- History: 12 SR 148; L 1987 c 333 s 22; 15 SR 2043; L 1991 c 38 s 2; 18 SR 2244; L 2001 1Sp9 art 14 s 35; L 2005 c 56 s 2; 30 SR 585; L 2009 c 79 art 1 s 21
Minn. R. 9555.6145 Negative Licensing Actions
Subpart 1. Definition.
For the purposes of this part, "negative licensing action" means denial of a license, revocation, suspension, or temporary immediate suspension of an existing license, or issuance of a fine.
Subp. 2. Procedures.
In accordance with Minnesota Statutes, section 245A.07, failure to comply with parts 9555.5105 and 9555.6105 to 9555.6265 or the terms of licensure is grounds for a negative licensing action. If the local agency recommends a negative licensing action, the local agency shall notify the department and the department shall determine if the standards in parts 9555.5105 and 9555.6105 to 9555.6265 or the terms of licensure have been violated. If the grounds are sufficient, the commissioner shall follow the procedures in Minnesota Statutes, sections 245A.07 and 245A.08, and notify the applicant or operator by certified mail, unless personal service is required. The notice of negative licensing action must be addressed to the name and location shown on the application or license and contain a statement of, and the reasons for, the proposed negative licensing action. The notice of negative licensing action must inform the applicant or operator of the right to appeal the decision. The applicant or operator shall have an opportunity for a hearing under parts 1400.8505 to 1400.8612 and Minnesota Statutes, chapter 14.
Subp. 3. Denial.
If the commissioner denies a license, the commissioner must give the applicant notice of the license denial and right to appeal as provided in Minnesota Statutes, section 245A.05.
Subp. 4. Fine, revocation, or suspension.
If the commissioner revokes or suspends a license or issues a fine, the commissioner must give the operator notice of the licensing action and the right to appeal as provided in Minnesota Statutes, section 245A.07.
Subp. 5. Temporary immediate suspension.
If the operator's actions or failure to comply with applicable law or rule poses an imminent risk of harm to the health, safety, or rights of the residents in care, the commissioner shall act immediately to temporarily suspend the license and notify the local agency to remove the residents. The operator shall be informed by personal service and informed of the right to an expedited hearing under parts 1400.8505 to 1400.8612 and Minnesota Statutes, chapter 14, as provided in Minnesota Statutes, section 245A.07, subdivisions 2 and 2a. The appeal does not stay the decision to temporarily immediately suspend the license.
Subp. 6.
[Repealed, 15 SR 2105]
Subp. 7. Notice of negative licensing action.
At the time the commissioner notifies the operator of a proposed negative licensing action, the commissioner shall notify residents and residents' legal representatives of the proposed negative licensing action and of the operator's right to appeal. The notification procedures in Minnesota Statutes, section 626.557, subdivision 10, paragraph (a), shall be followed in situations alleging maltreatment of residents.
Subp. 8. Reapplication after revocation.
An operator whose license has been revoked shall not be granted a new license for five years following revocation and must reapply for licensure to determine current compliance with parts 9555.5105 and 9555.6105 to 9555.6265.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09; 245A.16
- History: 12 SR 148; L 1987 c 333 s 22, c 384 art 2 s 1; 15 SR 2105; 30 SR 585
Minn. R. 9555.6165 Capacity
Subpart 1. Licensed capacity.
Except as provided in Minnesota Statutes, section 245A.11, a maximum of four residents may live in the adult foster home at one time.
Subp. 2. Capacity of roomers and residents.
Except as provided in Minnesota Statutes, section 245A.11, the total number of roomers and residents in the adult foster home at one time shall not exceed four.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09
- History: 12 SR 148; 30 SR 585
Minn. R. 9555.6167 Individual Resident Placement Agreement
The operator shall ensure that an individual resident placement agreement as defined in part 9555.5105, subpart 19, is developed, signed, and on file for the resident who is not receiving community social services, and who does not have an individual service plan developed under parts 9525.0004 to 9525.0036.
History
- Statutory Authority: MS s 245A.09; 256B.092
- History: 12 SR 148; 18 SR 2244; L 2003 1Sp14 art 11 s 11
Minn. R. 9555.6175 Cooperate with and Report to Agencies
Subpart 1. Cooperating with service agency.
The operator shall cooperate with the service agency in carrying out the provisions of the individual service plan for each resident who has one and in developing the individual resident placement agreement.
Subp. 2. Maltreatment reporting.
Caregivers shall immediately report any suspected maltreatment of a resident as required by Minnesota Statutes, sections 626.557 and 626.5572, the Vulnerable Adults Act.
Subp. 3. Reporting to local agency.
The operator shall ensure that the local agency is told:
A. within five calendar days of any change in the regular membership of the household or caregiver's employment status;
B. within 24 hours after the occurrence of a fire that causes damage to the residence or requires the services of a fire department or the onset of any changes or repairs to the residence that require a building permit;
C. immediately after the occurrence of any serious injury or death of a resident. "Serious injury" means an injury that requires treatment by a physician;
D. within 24 hours of a change in health status of a caregiver that could affect the ability of the caregiver to care for a resident;
E. immediately upon diagnosis by a physician or health authority of a reportable communicable disease, as specified in parts 4605.7000 to 4605.7800, of any resident, caregiver, or household member;
F. at least 30 days before the involuntary discharge of a resident who does not have an individual service plan; and
G. within seven days after the transfer or voluntary discharge of a resident who does not have an individual service plan.
Subp. 4. Reporting to service agency.
The operator shall ensure that the service agency is told:
A. within five days if a resident shows a need for additional community health or social services; and
B. at least 30 days before the involuntary discharge of a resident. When a resident wants to voluntarily leave the adult foster home, the operator must notify the service agency within three days. In this instance, the resident's legal representative, if any, shall also be notified by the service agency.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09
- History: 12 SR 148; 30 SR 585
Minn. R. 9555.6185 Foster Care Training
Subpart 1. Orientation.
Operators and caregivers must complete the orientation provided by the local agency in part 9555.5505 prior to placement of the first resident following initial licensure.
Subp. 2. Training requirements.
In addition to the orientation training, caregivers must complete the training designed to meet the needs of the residents in care in any of the subject areas and in the amount specified in subpart 4. The operator must ensure that a record of training completed is maintained.
A. Caregivers with zero to five years of licensure or experience as an adult foster home caregiver must complete 12 hours training a year.
B. Caregivers with six or more years of licensure or experience as an adult foster home caregiver must complete six hours training a year.
C. Caregivers who provide services according to a contract between the operator and the department or service must comply with any additional training requirements stated in the terms of the contract.
Subp. 3. Exceptions.
The following persons are exempt from the training requirements in this part:
A. caregivers providing not more than 30 cumulative days of foster care in a 12-month period; and
B. caregivers providing foster care eight hours or less a week.
Subp. 4. Training subjects.
Training subjects shall be selected from the following areas:
A. communication skills;
B. roles and relationships in foster care;
C. community services for adults;
D. constructive problem solving;
E. cultural differences;
F. basic first aid and cardiopulmonary resuscitation (CPR);
G. home safety;
H. self-esteem;
I. medication assistance;
J. human sexuality;
K. death, dying, separation, and grieving;
L. aging process;
M. recreation and leisure time;
N. nutrition;
O. mental health;
P. developmental disability;
Q. physical disabilities;
R. chemical dependency;
S. abuse and neglect;
T. stress management;
U. assertiveness;
V. eating disorders;
W. behavior problem solving;
X. money management;
Y. data privacy;
Z. living skills training; and
AA. other areas that the local agency documents as relevant to adult foster care.
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148; L 2005 c 56 s 2
Minn. R. 9555.6195 Prohibitions Against Maltreatment and Discrimination
Subpart 1. Protection from maltreatment.
The operator shall ensure that residents are protected from maltreatment through compliance with the Vulnerable Adults Act.
Subp. 2. Nondiscrimination.
Under Minnesota Statutes, section 363A.11, subdivision 1, the operator must comply with the nondiscrimination provisions applicable to public accommodations.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09
- History: 12 SR 148; 30 SR 585
Minn. R. 9555.6200 [Repealed, 12 SR 148]
[Repealed, 12 SR 148]
Minn. R. 9555.6205 Physical Environment
Subpart 1. Residential occupancy.
The residence must meet the definition of a dwelling unit in a residential occupancy and be free of any plumbing, electrical, ventilation, mechanical or structural hazard that would threaten the health or safety of a resident.
Subp. 2. Living room access.
Each resident must have use of and free access to the living room.
Subp. 3. Dining area.
Each residence shall have a dining area furnished for group eating that is simultaneously accessible to residents and household members.
Subp. 4. Resident bedrooms.
Residents must mutually consent, in writing, to share a bedroom with another resident. No more than two residents may share one bedroom.
A. Resident bedrooms must meet the following criteria:
B. Each resident shall be provided with the following furnishings:
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148
Minn. R. 9555.6215 Water and Food
Subpart 1. Water.
Water from privately owned wells must be tested annually by a Minnesota Health Department certified laboratory for coliform bacteria and nitrate nitrogens to verify safety. Retesting and corrective measures may be required by the health authority if results exceed state water standards in chapter 4720.
Subp. 2. Food.
Food served must meet any special dietary needs of a resident as prescribed by the resident's physician or dietitian. Three nutritionally balanced meals a day must be served or made available to residents, and nutritious snacks must be available between meals.
Subp. 3. Food safety.
Food must be obtained, handled, and properly stored to prevent contamination, spoilage, or a threat to the health of a resident.
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148
Minn. R. 9555.6225 Sanitation and Health
Subpart 1. Sanitation and cleanliness.
The residence must be clean, as specified in part 4625.0100, subpart 2, and free from accumulations of dirt, rubbish, peeling paint, vermin, or insects.
Subp. 2. Toxic substances.
Chemicals, detergents, and other toxic substances must not be stored with food products.
Subp. 3. Physical examination of resident.
The operator must ensure that each resident is examined by a physician no more than 30 days before or within three days after placement in the adult foster home to ensure that the resident is free of the reportable communicable diseases named in parts 4605.7000 to 4605.7800. Transfer records from a health care facility licensed by the Department of Health may be substituted for this requirement.
Subp. 4. First aid supplies.
The operator shall ensure that the residence is equipped with accessible first aid supplies including bandages, sterile compresses, scissors, an ice bag or cold pack, an oral or surface thermometer, mild liquid soap, adhesive tape, and first aid manual.
Subp. 5. Emergencies.
The operator shall be prepared for emergencies and ensure that:
A. a non-coin-operated telephone and an operable flashlight is located within the residence;
B. the phone numbers of each resident's representative, physician, and dentist are readily available;
C. phone numbers of the local fire department, police department, and an emergency transportation service are posted by the telephone;
D. prior arrangements are made for a substitute caregiver who meets the qualifications in part 9555.6125, subpart 4, to provide care during emergencies;
E. each resident is informed of a designated area within the residence where the resident shall go for cover during severe storms or tornadoes;
F. fire drills are conducted at least once every three months;
G. a written fire escape plan and a log of quarterly fire drills is on file in the residence; and
H. the fire escape plan is approved by the fire marshal and specifies emergency phone numbers, a place to meet outdoors for roll call, smoke detector and fire extinguisher locations, plans for quarterly fire and tornado drill sessions, and escape routes to the outside from the levels used by residents. In buildings with three or more dwelling units, enclosed exit stairs must be indicated. There must be an emergency escape plan for each resident.
Subp. 6. Individual personal articles.
Individual clean bed linens, towels, and wash cloths must be available for each resident.
Subp. 7. Pets.
Pets housed within the residence shall be maintained in good health. The operator shall ensure that the resident and the resident's representative is notified before admission of the presence of pets in the residence.
Subp. 8. Resident's medication.
Caregivers may administer medication to a resident who is not capable of self administering medication only if the operator ensures that the procedures in items A to G are followed.
A. The operator shall get a written statement from the resident's physician stating the name of the medication prescribed and whether the resident is capable of taking the medication without assistance.
B. The operator shall get written permission from the resident or the resident's legal representative to administer the medication.
C. A resident who is not capable of self-administering the medication may be administered the medication by a caregiver in accordance with the written instructions from the resident's physician if the written permission has been obtained from the resident or the resident's legal representative. A prescription label is sufficient to constitute written instructions from a physician.
D. Each resident receiving medication assistance must have a medication record containing:
E. A caregiver must report to the resident's physician and legal representative:
F. A caregiver must immediately report to the local agency whenever the resident's physician is notified because medication is not taken as prescribed and the physician determines that the refusal or failure to take medication as prescribed creates an immediate threat to the resident's health or safety or the health or safety of other residents or household members.
G. A caregiver shall not give injectable medication unless:
Subp. 9. Storage of medication.
Schedule II controlled substances in the residence that are named in Minnesota Statutes, section 152.02, subdivision 3, must be stored in a locked storage area permitting access only by residents and caregivers authorized to administer the medication as named in subpart 8.
Subp. 10. Weapons.
Weapons and ammunition must be stored separately in locked areas that are inaccessible to residents and prevent contents from being visible to residents. "Weapons" means firearms and other instruments or devices designed for and capable of producing bodily harm.
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148
Minn. R. 9555.6235 Adult Foster Home Program
The operator shall develop and implement a commissioner approved written plan that allows residents to share in the privileges and responsibilities of the adult foster home and includes the information in items A to C.
A. The type of functionally impaired adults to be served.
B. The foster care that will be available to residents within the adult foster home including the provision of:
C. A program abuse prevention plan with specific measures to be taken to minimize the risk of abuse to residents under part 9555.8200.
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148
Minn. R. 9555.6245 Personal Record of Resident in Foster Care
Subpart 1. General provisions.
The operator shall ensure that an individual record is maintained in the adult foster home on each resident.
Subp. 2. Demographic information.
The record must include the resident's name, birthdate, sex, race, marital status, next of kin, Social Security number, medical assistance number, name, address, and phone number of an emergency contact or the resident's legal representative, admission date, place or address from which the resident was admitted, date of leaving the residence, and place or address to which the resident has moved.
Subp. 3. Medical information.
The record must contain the following medical information:
A. the name, address, and phone number of the resident's physician, dentist, clinic, and other sources of medical care;
B. a health history and information on any health risks, allergies, currently prescribed medication, and documentation of the physical examination or transfer record required in part 9555.6225, subpart 3;
C. any emergency treatment needed or provided while the resident resides in the adult foster home; and
D. the medication record required under part 9555.6225, subpart 8.
Subp. 4. Cash resource information.
The record must include an accounting of any personal funds and charges against those funds if the operator or a caregiver gives cash resource assistance to a resident.
Subp. 5. Incident reports.
The record must contain all incident reports. Incident reports must be written when a resident requires emergency care, when a police report of an incident involving a resident has been made, or when a complaint has been filed under the Vulnerable Adults Act. Incident reports must be entered into the resident's personal record by the operator within eight hours after knowledge of the occurrence.
Subp. 6. Individual abuse prevention plan.
The record must contain an individual abuse prevention plan for a resident developed in compliance with part 9555.8300.
Subp. 7. Individual service plan.
The record must contain the service agency's initial and current individual service plan for a resident.
Subp. 8. Individual resident placement agreement.
The record must contain the initial individual resident placement agreement for a resident and the annual update of the agreement.
Subp. 9. Individual mobility check list.
The record must contain an individual mobility check list for a resident as specified in part 9555.5605, subpart 2.
Subp. 10. Transfer or discharge.
When a resident is transferred or discharged for any reason a note must be made in the resident's record showing the date of discharge, forwarding address, and reason for discharge or transfer.
Subp. 11. Record storage.
The personal record on a resident must be stored by the operator for four years after the resident has been discharged from the residence.
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148
Minn. R. 9555.6255 [Repealed, L 2022 c 98 art 7 s 32]
[Repealed, L 2022 c 98 art 7 s 32]
Minn. R. 9555.6265 Safeguards for Cash Resources Entrusted to Operator
Subpart 1. Determination.
If the social worker determines that a resident needs and wants assistance safeguarding cash resources, any cash resources entrusted to the operator must be handled in accordance with this part.
Subp. 2. Procedures for handling cash resources.
If a resident entrusts cash resources to the operator, the procedures in items A to E must be used.
A. The resident and the resident's legal representative shall be given a receipt by the operator. Receipts must be signed by the resident or the resident's legal representative.
B. The operator shall not be entrusted with cash resources in excess of $300 plus resources sufficient to meet one month's cost of care.
C. The resident or resident's legal representative shall have access to the written records involving the resident's funds.
D. The operator shall provide the resident or resident's legal representative with a written quarterly accounting of financial transactions made on behalf of the resident.
E. Upon the death or transfer of a resident, any cash resources of the resident must be surrendered to the resident or the resident's legal representative, or given to the executor or administrator of the estate in exchange for an itemized receipt.
History
- Statutory Authority: MS s 245A.09
- History: 12 SR 148
Minn. R. 9555.6300 [Repealed, 12 SR 148]
[Repealed, 12 SR 148]
Minn. R. 9555.6400 [Repealed, 12 SR 148]
[Repealed, 12 SR 148]
Minn. R. 9555.7100 [Repealed, 50 SR 5]
[Repealed, 50 SR 5]
Minn. R. 9555.7200 [Repealed, 50 SR 5]
[Repealed, 50 SR 5]
Minn. R. 9555.7300 [Repealed, 50 SR 5]
[Repealed, 50 SR 5]
Minn. R. 9555.7400 [Repealed, L 2015 c 78 art 6 s 32]
[Repealed, L 2015 c 78 art 6 s 32]
Minn. R. 9555.7500 [Repealed, L 2015 c 78 art 6 s 32]
[Repealed, L 2015 c 78 art 6 s 32]
Minn. R. 9555.7600 [Repealed, 50 SR 5]
[Repealed, 50 SR 5]
Minn. R. 9555.7700 [Repealed, L 2012 c 216 art 9 s 38]
[Repealed, L 2012 c 216 art 9 s 38]
Minn. R. 9555.8000 [Repealed, L 1997 c 248 s 51 subd 1]
[Repealed, L 1997 c 248 s 51 subd 1]
Minn. R. 9555.8100 [Repealed, L 1997 c 248 s 51 subd 1]
[Repealed, L 1997 c 248 s 51 subd 1]
Minn. R. 9555.8200 [Repealed, L 1997 c 248 s 51 subd 1]
[Repealed, L 1997 c 248 s 51 subd 1]
Minn. R. 9555.8300 [Repealed, L 1997 c 248 s 51 subd 1]
[Repealed, L 1997 c 248 s 51 subd 1]
Minn. R. 9555.8400 [Repealed, L 1997 c 248 s 51 subd 1]
[Repealed, L 1997 c 248 s 51 subd 1]
Minn. R. 9555.8500 [Repealed, L 1997 c 248 s 51 subd 1]
[Repealed, L 1997 c 248 s 51 subd 1]
Minn. R. 9555.9000 Scope and Purpose
Parts 9555.9000 to 9555.9300 govern the offer and provision of services to mothers and pregnant women. The purpose of these parts is to establish criteria for mothers and pregnant women who shall be offered social services and the responsibility of local agencies to offer services to women who meet these criteria as required by Minnesota Statutes, section 257.33.
History
- Statutory Authority: MS s 257.33
Minn. R. 9555.9100 Definitions
As used in parts 9555.9000 to 9555.9300, "local social services agency" means the agency responsible for social services which is under the authority of the board of county commissioners or human services board; and "appropriate social services" are those services identified as appropriate social services by the local social services agency.
History
- Statutory Authority: MS s 257.33
Minn. R. 9555.9200 Eligibility Criteria for Women
The local agency shall offer the services required under part 9555.9300 to women who meet one or more of the following criteria:
A. women who are minors and are either pregnant or already have a child;
B. mothers who are referred to the agency because they did not have prenatal care;
C. mothers who request assistance in establishing paternity for their children;
D. women who request assistance in deciding if they want to parent their child; and
E. mothers who are referred to the agency because they have physical, mental, or emotional problems which limit the care that they are able to provide for their children.
History
- Statutory Authority: MS s 257.33
Minn. R. 9555.9300 Local Social Services Agency Responsibilities
The local agency shall:
A. contact each minor mother who is reported by a hospital as having given birth to a child and offer appropriate social services to her; and
B. offer appropriate social services to women who meet one or more of the criteria of part 9555.9200.
History
- Statutory Authority: MS s 257.33
Minn. R. 9555.9600 Definitions
Subpart 1. Scope.
The terms used in parts 9555.9600 to 9555.9730 have the meanings given them in this part.
Subp. 2. Adult.
"Adult" means a person 18 years of age or older.
Subp. 3. Adult day care.
"Adult day care" has the meaning given in Minnesota Statutes, section 245A.02, subdivision 2a.
Subp. 4. Adult day care center, adult day services center, or center.
"Adult day care center," "adult day services center," or "center" means a facility that provides adult day care or adult day services to functionally impaired adults on a regular basis for periods of less than 24 hours a day in a setting other than a participant's home or the residence of the facility operator.
Subp. 5. Ambulatory.
"Ambulatory" means having the ability to walk independently and negotiate barriers such as ramps, doors, stairs, and corridors without assistance.
Subp. 6. Applicant.
"Applicant" means an operator or authorized representative of an operator seeking a license to operate an adult day care center or adult day services center under parts 9555.9600 to 9555.9730.
Subp. 7. Building official.
"Building official" means a person appointed in accordance with Minnesota Statutes, section 326B.133, to administer the State Building Code or the building official's authorized representative.
Subp. 8. Capable of taking appropriate action for self preservation under emergency conditions.
"Capable of taking appropriate action for self preservation under emergency conditions" is the designation applied in parts 9555.9600 to 9555.9730 to an adult who meets the criteria in items A and B.
A. The person is ambulatory or mobile; and
B. The person has the combined physical and mental capability to:
Subp. 9. Caregiver.
"Caregiver" means a person, usually a family member, whose support helps a participant to live independently or semi independently in the community and to participate in adult day care or adult day services. For the purpose of parts 9555.9600 to 9555.9730, caregiver does not denote legal or financial responsibility for the participant.
Subp. 10. Center director.
"Center director" means the person responsible for managing the daily affairs of the center.
Subp. 11. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services or the commissioner's authorized representative.
Subp. 12. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 13. Fire marshal.
"Fire marshal" means the person designated by Minnesota Statutes, section 299F.011, to administer and enforce the Minnesota Uniform Fire Code, or the fire marshal's authorized representative.
Subp. 14. Functionally impaired adult.
"Functionally impaired adult" means an adult having a condition that includes (1) having substantial difficulty in carrying out one or more of the essential major activities of daily living, such as caring for oneself, performing manual tasks, walking, seeing, hearing, speaking, breathing, learning, and working; or (2) having a disorder of thought or mood that significantly impairs judgment, behavior, capacity to recognize reality, or ability to cope with the ordinary demands of life; and (3) requiring support to maintain independence in the community.
Subp. 15. Agent of a community health board.
"Agent of a community health board" as authorized under Minnesota Statutes, section 145A.04, means the designated representative of the state or community health board as defined in Minnesota Statutes, section 145A.02, subdivision 5, to enforce state and local health codes.
Subp. 16. License.
"License" means a certificate issued by the commissioner authorizing the operator to provide specified services for a specified period of time in accordance with the terms of the license, with Minnesota Statutes, chapter 245A and section 252.28, subdivision 2, and with parts 9555.9600 to 9555.9730. License includes a provisional license issued to an operator who is temporarily unable to comply with all the requirements for issuance of a license.
Subp. 17. Licensed capacity.
"Licensed capacity" means the maximum total number of participants the center is permitted to serve on the premises at any one time under the terms of the license.
Subp. 18. Medication assistance.
"Medication assistance" means assisting participants to take medication and monitoring the effects of medication but does not include administering injections. Medication includes a prescription substance ingested, injected, or applied externally to prevent or treat a condition or disease, heal, or relieve pain.
Subp. 19. Minnesota Uniform Fire Code.
"Minnesota Uniform Fire Code" means those codes and regulations adopted by the state fire marshal in accordance with Minnesota Statutes, section 299F.011, and contained in parts 7510.3100 to 7510.3280.
Subp. 20. Mobile.
"Mobile" means being nonambulatory but having the ability to move from place to place with the aid of such devices as crutches, walkers, wheelchairs, and wheeled platforms.
Subp. 21. Multifunctional organization.
"Multifunctional organization" means an organization such as a nursing home that operates a center licensed under parts 9555.9600 to 9555.9730 as well as one or more other programs or facilities simultaneously and within the same administrative structure.
Subp. 22. Operator.
"Operator" means the individual, corporation, partnership, voluntary association, or other public or private organization legally responsible for the operation of a center.
Subp. 23. Participant.
"Participant" means a person who has been admitted to and is receiving services from a center licensed under parts 9555.9600 to 9555.9730.
Subp. 24. Physician.
"Physician" means a person licensed to provide services within the scope of the profession as defined in Minnesota Statutes, chapter 147.
Subp. 25. Registered dietitian.
"Registered dietitian" means a dietitian registered with the National Commission on Dietetic Registration.
Subp. 26. Registered nurse.
"Registered nurse" means a person registered by the Minnesota State Board of Nursing to practice professional nursing.
Subp. 27. Registered physical therapist.
"Registered physical therapist" means a person registered by the Minnesota State Board of Medical Practice to practice physical therapy.
Subp. 28. Regularly or on a regular basis.
"Regularly" or "on a regular basis" means the provision of day care services to one or more persons for a cumulative total of more than 30 days within any 12 month period. Provision of services for any part of a calendar day shall constitute provision of service for the entire calendar day.
Subp. 29. State Building Code.
"State Building Code" means those codes and regulations adopted by the commissioner of the Department of Administration in accordance with Minnesota Statutes, section 326B.101, and contained in chapter 1300.
Subp. 30. Structured exercise program.
"Structured exercise program" means an identifiable group activity of specific, planned physical exertion designed for participants with similar physiologic and physical needs, meant to maintain or improve range of motion and endurance, general cardiovascular capability, muscle tone, and metabolic levels.
Subp. 31. Variance.
"Variance" means written permission from the commissioner allowing an applicant or operator to depart from specific provisions of parts 9555.9600 to 9555.9730.
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09
- History: 11 SR 2165; L 1987 c 309 s 24; 13 SR 1448; L 1991 c 106 s 6; 18 SR 2748; L 2004 c 288 art 1 s 82; 30 SR 585; L 2007 c 140 art 4 s 61; art 13 s 4; L 2015 c 21 art 1 s 109
Minn. R. 9555.9610 Adult Day Care Center or Adult Day Services Center Licensure
Subpart 1. Purpose.
The purpose of parts 9555.9600 to 9555.9730 as authorized by Minnesota Statutes, chapter 245A, is to establish procedures and standards for licensing adult day care centers or adult day services centers to assure the health, safety, and rights of adult day care or adult day services participants.
Subp. 2. Applicability.
Parts 9555.9600 to 9555.9730 govern the licensing of adult day care centers and adult day services centers.
An identifiable unit in a nursing home, hospital, or boarding care home licensed by the commissioner of health that regularly provides day care for six or more functionally impaired adults at any given time who are not residents or patients of the nursing home, hospital, or boarding care home must be licensed as an adult day care center or adult day services center.
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165; L 1987 c 333 s 22; 13 SR 1448; 18 SR 2748; L 2004 c 288 art 1 s 82
Minn. R. 9555.9620 Licensing Process
Subpart 1. Application for license.
An adult day care center must be licensed under Minnesota Statutes, chapter 245A.
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
Subp. 5.
[Repealed, 18 SR 2748]
Subp. 6.
[Repealed, 18 SR 2748]
Subp. 7.
[Repealed, 18 SR 2748]
Subp. 8.
[Repealed, 18 SR 2748]
Subp. 9.
[Repealed, 18 SR 2748]
Subp. 10.
[Repealed, 18 SR 2748]
Subp. 11.
[Repealed, 18 SR 2748]
Subp. 12.
[Repealed, 18 SR 2748]
Subp. 13.
[Repealed, 18 SR 2748]
History
- Statutory Authority: MS s 245A.04; 245A.09
- History: 11 SR 2165; L 1987 c 309 s 2; L 1987, c 333 s 22; 15 SR 2043; 18 SR 2748; L 2010 c 382 s 86
Minn. R. 9555.9630 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9555.9640 Policy and Program Information Requirements
A center shall have available for review and shall distribute to participants and their caregivers upon admission written information about the points in items A to N:
A. the scope of the programs, services, and care offered by the center;
B. a description of the population to be served by the center;
C. a description of individual conditions which the center is not prepared to accept, such as a communicable disease requiring isolation, a history of violence to self or others, unmanageable incontinence or uncontrollable wandering;
D. the participants' rights developed in accordance with part 9555.9670 and additionally:
E. the center's policy on and arrangements for providing transportation;
F. the center's policy on providing meals and snacks;
G. the center's fees, billing arrangements, and plans for payment;
H. the center's policy governing the presence of pets in the center;
I. the center's policy on smoking in the center;
J. types of insurance coverage carried by the center;
K. a statement of the center's compliance with Minnesota Statutes, section 626.557, and rules adopted under that section;
L. a statement that center admission and employment practices and policies comply with Minnesota Statutes, chapter 363, the Minnesota Human Rights Act;
M. the terms and conditions of the center's licensure by the department, including a description of the population the center is licensed to serve under part 9555.9730; and
N. the telephone number of the department's licensing division. The information in items A to N must be provided in writing to the commissioner upon request and must be available for inspection by the commissioner at the center.
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165
Minn. R. 9555.9650 Personnel Records
A center shall maintain the personnel files in items A and B.
A. A personnel file for each employee that includes:
B. A personnel file for each consultant whose services the center purchases either by contracting directly with the individual or by contracting for the person's services with another organization. The file shall include:
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165
Minn. R. 9555.9660 Participant Records
Subpart 1. Participant's written record.
A center shall develop and maintain a written record for each participant. Access to participants' records shall be governed by subpart 2. Each participant's written record shall include:
A. an application form signed by the participant or the participant's caregiver that includes:
B. a medical report dated within the three months prior to or 30 calendar days after the participant's admission to the center, signed by a physician or signed by a physician assistant or registered nurse and cosigned by a physician, that includes:
C. reports received from other agencies involved in providing services or care to the participant;
D. participant's service agreement with the center, that must specify the responsibilities of the participant and the center with respect to payment for and provision of services and shall be signed by the participant or the participant's caregiver and the center director;
E. attendance and participation reports and progress notes that are recorded at least monthly;
F. notes on special problems or on changes needed in medication and on the need for medication assistance;
G. participant's needs assessment and current plan of care in compliance with part 9555.9700;
H. a copy of the center's statement on participants' rights, signed by the participant or the participant's caregiver to indicate the participant has been informed of rights;
I. any incident reports involving the participant, in compliance with part 9555.9720, subpart 4;
J. copy of the individual abuse prevention plan developed for the participant as required by Minnesota Statutes, section 626.557, subdivision 14;
K. in a center licensed as meeting group E-3 occupancy code requirements, (1) a statement signed by the center director and the participant at the time of the participant's admission specifying the basis on which the participant was determined to be capable or not capable of taking appropriate action for self-preservation under emergency conditions as that capability is defined in part 9555.9600, subpart 8; and (2) documentation that the participant has demonstrated the capability defined in part 9555.9600, subpart 8, by participating in a fire drill within at least six months of admission to the center; and
L. discharge summary, if the participant is discharged from the center.
Subp. 2.
[Repealed, 18 SR 2748]
Subp. 3. Right to contest.
The center shall provide each participant with written notice ensuring that each participant or participant's guardian or caregiver has been informed of the participant's right to contest the accuracy and completeness of the data maintained in the record.
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165; 18 SR 2748; 20 SR 858; L 2014 c 291 art 4 s 58
Minn. R. 9555.9670 Participants' Rights
A center shall adopt and hold employees accountable for complying with a participant's bill of rights. The rights shall include:
A. the right to participate in developing one's own plan of care;
B. the right to refuse care or participation;
C. the right to physical privacy during care or treatment;
D. the right to confidentiality of participant records; and
E. the right to present grievances regarding treatment or care in accordance with part 9555.9640, item D.
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165
Minn. R. 9555.9680 Personnel Requirements
Subpart 1. Center director.
The center director must meet both the requirements in items A and B or only the requirement in item C:
A. licensure by the state of Minnesota as a licensed practical nurse or completion of at least two years of postsecondary education from an accredited college, university, technical college, or correspondence school; and
B. completion of two years of paid or volunteer experience in planning or delivering health or social services including experience in supervision and administration; or
C. completion of four years of paid or volunteer experience in planning or delivering health or social services including two years of experience in supervision and administration.
Subp. 2. Personnel standards.
The standards and requirements in items A to C apply to all employees.
A. Persons who supervise employees must be at least 18 years of age.
B. Employees or consultants who perform services that require licensure, certification, or registration by the state of Minnesota must have current licensure, certification, or registration in their field.
C. An employee, other than a physician, registered pharmacist, registered nurse, or licensed practical nurse, who is responsible for medication assistance shall provide a certificate verifying successful completion of a trained medication aid program for unlicensed personnel approved by the Minnesota Department of Health or shall be trained by a registered nurse to provide medication assistance in accordance with part 9555.9710, subpart 3.
Subp. 3.
[Repealed, 18 SR 2748]
Subp. 4.
[Repealed, 18 SR 2748]
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165; L 1989 c 246 s 2; 18 SR 2748
Minn. R. 9555.9690 Staff Ratio and Center Coverage
Subpart 1. Staff ratio.
Centers must meet the standards specified in items A to G.
A. When a center serves only participants who are capable of taking appropriate action for self-preservation under emergency conditions, the center shall maintain a minimum staff to participant ratio of one staff member present for every eight participants present.
B. When a center serves only participants who are not capable of taking appropriate action for self-preservation under emergency conditions, the center shall maintain a minimum staff to participant ratio of one staff member present for every five participants present.
C. When a center serves both participants who are capable of taking appropriate action for self-preservation under emergency conditions and participants who are not, the center shall maintain a staff to participant ratio of one staff member present for every five participants present who are not capable of self-preservation and one staff member present for every eight participants present who are capable of self-preservation. When a center has participants to whom the one to eight ratio applies, as well as participants to whom the one to five ratio applies, the number of staff persons necessary to meet the ratio requirements can be determined by making the following computations:
D. Only those employees whose primary center duties, as defined in their job descriptions, are to work directly with participants by providing care, supervision, and assistance in achieving plan of care objectives shall be counted as staff members in calculating the staff to participant ratio.
E. A multifunctional organization may count other employees of the organization besides center employees in calculating the staff to participant ratio if:
F. No participant shall be counted as or be substituted for a staff member in calculating the staff to participant ratio.
G. A volunteer may be counted as a staff member in calculating the staff to participant ratio if the volunteer meets the same standards and requirements as paid staff.
Subp. 2. Staff coverage of center.
Centers must meet the standards specified in items A to C.
A. In the temporary absence of the director, a staff member shall be designated to supervise the center.
B. When only one staff member is needed to meet the staff ratio requirement in subpart 1, item A, a volunteer or other adult who is not a participant shall be present when six or more participants are in attendance.
C. A person trained in basic first aid and certified in cardiopulmonary resuscitation, and the treatment of obstructed airways must be present at all times:
Subp. 3. Staff orientation to center.
A center shall provide all center employees with 20 hours of orientation to the center within the employee's first 40 hours of employment at the center. At least four hours of supervised orientation must be provided before employees work directly with center participants. The orientation must include training related to the kinds of functional impairments of current center participants, the protection and abuse reporting requirements of parts 9555.8000 to 9555.8500, and the safety requirements and procedures in part 9555.9720.
Subp. 4. In-service training.
A center shall provide a minimum of eight hours of in-service training annually. In-service training must be in areas related to care of center participants, including provision of medication assistance and review of parts 9555.8000 to 9555.8500, 9555.9600 to 9555.9730, and Minnesota Statutes, section 626.557.
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165
Minn. R. 9555.9700 Individual Service Planning
Subpart 1. Intake screening.
Before admitting a participant, the center shall conduct an intake screening to determine how or whether the center can serve the individual, based on the center's licensure, the center's policies and services, and the individual's needs and condition. If possible, the screening shall include an interview with the participant and with the participant's caregiver. The center shall notify the individual of the outcome no more than five working days after the screening process begins.
Subp. 2. Initial service planning.
Immediately after admission, the center shall conduct a needs assessment and develop a preliminary service plan for the participant, in accordance with items A and B. The needs assessment and preliminary service plan must be completed within 30 days and placed in the participant's record.
A. The center shall assess the participant's needs for center services based on observation of the participant and information obtained from other sources, including any assessment performed within the prescribed time by a preadmission screening team under Minnesota Statutes, section 256B.0911. The needs assessment shall address:
B. The center shall develop a preliminary service plan based on the assessment in item A and coordinated with other plans of services for the participant. The preliminary service plan must include the following information and specifications:
Subp. 3. Individual plan of care.
Within 90 days of the participant's admission to the center, a written plan of care must be developed by the center staff together with the participant, the participant's caregiver, and other agencies and individual service providers. The plan of care must be dated and must include:
A. an update of the preliminary service plan required in subpart 2 and additional services required by the participant;
B. short and long-term objectives for the participant stated in concrete, measurable, and time specific outcomes;
C. the staff members responsible for implementing the individual plan of care;
D. the anticipated duration of the individual plan of care as written; and
E. provisions for quarterly review and quarterly revision of the individual plan of care.
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165; 18 SR 2748
Minn. R. 9555.9710 Service and Program Requirements
Subpart 1. Food service and nutrition.
A center shall meet the requirements in items A to H.
A. Procedures for preparing, handling, and serving food, and washing food, utensils, and equipment must comply with chapter 4626, Requirements for Food and Beverage Establishments, and with applicable local ordinances. If the food is prepared off-site by another facility or if food service is provided according to a center's contract with a food service provider, the facility or provider must comply with chapter 4626 and applicable local ordinances.
B. The center shall provide refrigeration for dairy products and other perishable foods, whether supplied by the center or supplied by the participant. The refrigeration must have a temperature of 40 degrees Fahrenheit or less.
C. If a participant is at the center for more than 4-1/2 hours, the participant must be served a meal which meets one-third of the recommended dietary allowances of the Food and Nutrition Board of the National Research Council, National Academy of Sciences, specified in Recommended Dietary Allowances, 9th Edition, 1980. This publication is incorporated by reference. It is not subject to frequent change and is available at public libraries through Minitex interlibrary loan system and from the Printing and Publication Office, National Academy of Sciences, Washington, D.C. 20418.
D. The center shall offer a midmorning and a midafternoon snack.
E. The menus for all meals and snacks must be approved by a registered dietitian and must meet all applicable state rules and laws and United States Department of Agriculture regulations.
F. The center shall provide modified diets for participants whose written records specify dietary restrictions.
G. Drinking water must be available to participants throughout the hours of the center's operation.
H. The center must maintain a record indicating the menu for all meals served for at least six months.
Subp. 2. Transportation.
If a center provides transportation, the following requirement must be met.
The maximum transportation time for any participant being transported by a center vehicle between the participant's home and the center shall be 90 minutes, one way.
Subp. 3. Health services.
The center shall offer health services developed in consultation with a registered nurse. A registered nurse shall provide consultation and review of the health services at least monthly. Health services must include:
A. monitoring participants' health status and reporting changes to the participant's caregiver and physician and the center director;
B. educating and counseling participants on good health practices;
C. maintaining a listing of professional health resources available for referrals as needed by participants;
D. developing policies and monitoring procedures for participant self administration of medications for training unlicensed personnel who provide medication assistance; and
E. supervising staff distribution of medication and assistance with participant self administration of medication and ensuring compliance with part 9555.9680, subpart 2, item C.
Subp. 4. Structured exercise program.
The center shall offer a daily structured exercise program for participants whose physicians have authorized their participation. The program shall be developed in consultation with a registered physical therapist. A registered physical therapist shall provide consultation and review of the exercise program, at least quarterly.
Subp. 5. Activities of daily living.
The center shall provide participants assistance, when needed, in managing activities of daily living such as dressing, grooming, and eating, and in developing or maintaining the skills necessary to manage these activities on their own.
Subp. 6. Daily program activities.
The center shall have a monthly plan for diversified daily program activities. Program activities shall be designed to meet the needs and interests of the participants and shall include:
A. socialization activities, such as group projects and recreational activities;
B. cultivation of personal interests, such as arts, crafts, and music; and
C. activities designed to increase the participant's knowledge and awareness of the environment and to enhance language and conceptual skills.
Subp. 7. Social services.
A center shall offer the social services in items A to D:
A. interviewing the participant and, when possible, the participant's caregiver as part of the admission procedure specified in part 9555.9700;
B. maintaining a family and social history for the participant's record that is updated annually;
C. observing and recording psychological, emotional, social, financial, legal, employment, transportation, and other living situation factors related to the participant's achieving objectives specified in the participant's plan of care; and
D. referring the participant and caregivers to community services as required to meet the needs identified by the observation in item C.
History
- Statutory Authority: MS s 31.101; 31.11; 144.05; 144.08; 144.12; 157.011; 245A.09
- History: 11 SR 2165; 18 SR 2748; 23 SR 519
Minn. R. 9555.9720 Safety Requirements
Subpart 1. First aid kit.
The center shall have a first aid kit that contains a first aid manual, sterile bandages and band-aids, sterile compresses, scissors, an ice bag or cold pack, an oral or topical thermometer, liquid soap, adhesive tape, and money for phone calls. The first aid kit and manual must be accessible to the staff in the center and must be taken on field trips.
Subp. 2. Telephone and posted numbers.
A center shall have a noncoin operated telephone that is readily accessible. A list of emergency numbers must be posted next to the telephone. When an area has a 911 number, the emergency number listed must be 911. In areas of the state without a 911 number, the numbers listed must be those of the local fire department, police department, emergency transportation, and poison control center. In a hospital or nursing home, the emergency care team number must be posted.
Subp. 3. Emergency phone numbers for participants.
For each participant, the emergency phone numbers of the caregiver, the persons to be called if the caregiver cannot be reached, and the participant's physician must be readily available at the center. These numbers must also be available in vehicles provided by the center to transport participants.
Subp. 4. Records of incidents.
The center shall maintain records of all incidents involving participants, including illnesses; accidents requiring first aid; incidents requiring emergency medical or psychiatric care; incidents requiring a police report to be made; and incidents when a complaint has been filed under Minnesota Statutes, section 626.557, Reporting of Maltreatment of Vulnerable Adults. The record shall include the participant's name, the date and time of the incident, a description of the incident, the center's action in response to the incident, and indication that the incident was reported to the participant's caregiver.
Subp. 5. Hazardous objects, materials, or equipment.
Chemicals that are poisonous when swallowed or inhaled or that are damaging to eyes or skin must be stored in an area not accessible to the participants. Use of scissors, knives, matches, razor blades, and other potentially hazardous materials by participants shall be allowed only under supervision.
Subp. 6. Emergency equipment.
The center shall have a flashlight and a portable radio or television set that do not require electricity and can be used if a power failure occurs.
Subp. 7. Equipment and furniture.
Equipment and furniture must be in good repair and without sharp points, splinters, and paint that contains lead.
Subp. 8. Areas used by participants.
The areas used by participants must be free from debris, loose plaster, peeling paint, and litter. Rugs must have a nonskid backing.
Subp. 9. Emergencies caused by fire and weather.
The center shall have written plans for emergencies caused by fire, blizzards, and tornadoes. The plans must be posted in a visible place and be on file in the center. The plans must include items A to I:
A. the responsibilities each staff person will assume in case of emergency;
B. identification of primary and secondary exits;
C. identification of building evacuation routes;
D. identification of an emergency shelter area within the center;
E. instructions for evacuating or rescuing participants;
F. instructions for calling the fire department and emergency phone numbers;
G. procedures for the quarterly fire drill;
H. instructions on location and use of fire extinguishers; and
I. instructions on closing off the fire area. The fire escape plan must be rehearsed at least four times each year and the dates of rehearsals must be recorded in the file of emergency plans.
Subp. 10. Medical emergencies.
The center shall have written procedures governing medical emergencies and an identified source of emergency medical care and transportation that is made known to all staff members and volunteers.
Subp. 11. Pets.
If the center allows pets, the center must ensure that:
A. prospective participants are notified that pets may be present in the center;
B. all dogs and cats brought into the center have current rabies shots and tags;
C. pets and pet cages are excluded from food storage, preparation, and serving areas; and
D. a record of annual examinations for communicable disease and parasites by a licensed veterinarian is maintained for all pets that reside in or regularly visit the center.
History
- Statutory Authority: MS s 245A.09
- History: 11 SR 2165; 18 SR 2748; 30 SR 1216
Minn. R. 9555.9730 Physical Plant and Space Requirements
Subpart 1.
[Repealed, 18 SR 2748]
Subp. 2. Determination of occupancy code.
The occupancy code requirements for a center shall be determined according to the Minnesota State Fire Code adopted under chapter 7511.
Subp. 3. Signal system in restrooms.
Restrooms used by participants must be equipped with a mechanism that participants can use to signal staff members by light or by sound if participants need assistance.
Subp. 4. Usable space requirements.
The licensed capacity of a center shall be limited by the amount of indoor space available for use by participants. The total indoor space available for use by participants must equal at least 40 square feet for each day care participant and each day care staff member present at the center. When a center is located in a multifunctional organization, the center may share common space with the multifunctional organization if the required space available for use by participants is maintained while the center is operating. In determining the square footage of usable indoor space available, a center must not count:
A. hallways, stairways, closets, offices, restrooms, and utility and storage areas;
B. more than 25 percent of the space occupied by furniture or equipment used by participants or staff; or
C. in a multifunctional organization, any space occupied by persons associated with the multifunctional organization while participants are using common space.
Subp. 5. Private space.
The usable indoor space available to a center must include a room or an area that can be used as private space for providing personal hygiene services or social services to participants.
Subp. 6. Equipment and furnishings.
Each center shall provide the equipment and furnishings in items A to E:
A. a sturdy, nonfolding chair for each participant who does not require or prefer a wheelchair;
B. stable tables that are accessible to all participants and staff and accommodate dining and program activity needs;
C. age appropriate games, books, crafts, and other materials to implement daily program activities;
D. one cot, couch, or recliner per eight participants; and
E. one television set, AM/FM radio, phonograph, or tape player.
Subp. 7. Temperature.
A minimum temperature of 70 degrees Fahrenheit must be maintained in indoor areas used by participants.
Subp. 8. Ventilation.
Outside doors and windows which are used for ventilation must be screened in summer months.
Subp. 9.
[Repealed, 18 SR 2748]
History
- Statutory Authority: MS s 14.386; 14.388; 245A.09
- History: 11 SR 2165; 18 SR 2748; 30 SR 585
Chapter 9560 SOCIAL SERVICES FOR CHILDREN
Minn. R. 9560.0010 Purpose of State Adoption Program
Goal of the Minnesota adoption program: to ensure for each child, who is free to be legally adopted in the state, a suitable adoptive home and agency services supportive of his or her integration into the new family.
History
- Statutory Authority: MS s 245A.09; 257.05; 257.175; 259.59; 259.67; 259.75; 259.87
- History: 9 SR 909
Minn. R. 9560.0015 Scope of Definitions
The terms used in parts 9560.0010 to 9560.0180 have the meanings given them in part 9560.0020.
History
- Statutory Authority: MS s 257.05; 259.67; 259.75; 259.87
- History: 9 SR 909
Minn. R. 9560.0020 Definitions
Subpart 1. Adoptive home.
"Adoptive home" means a home approved by an authorized child-placing agency for the purpose of placing a child for adoption.
Subp. 2. Authorized child-placing agency.
"Authorized child-placing agency" means the local social service agency or any agency licensed to place children by the commissioner or by a comparable authority in the state or country in which the agency exists.
Subp. 3. Child.
"Child" means an individual under 18 years of age.
Subp. 3a. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services.
Subp. 4. Foster family home.
"Foster family home" means a family home licensed to provide 24-hour-a-day care to children who are unrelated to the family.
Subp. 5. Birth parent.
"Birth parent" means an individual who is referred to as the child's birth parent, who is named in the child's original birth record as a parent, whose claim to genetic parenthood is unchallenged, or whose genetic parenthood is established by a court of competent jurisdiction.
Subp. 6. Independent placement.
"Independent placement" means a proposed or actual nonagency placement of a child by a parent or unlicensed third party with persons not related to the child within the third degree.
Subp. 7. Infant.
"Infant" means a child under the age of 15 months.
Subp. 8. Licensed child-placing agency.
"Licensed child-placing agency" means an agency authorized by the commissioner to place children for foster care or adoption.
Subp. 9. Local social service agency.
"Local social service agency" means the local agency under the authority of the local social services agency or human service board responsible for arranging and providing social services to individuals.
Subp. 9a.
[Repealed, 29 SR 1367]
Subp. 10. Placing agency.
"Placing agency" means the Minnesota licensed child-placing agency which has guardianship of a child from a Minnesota court or the local social service agency which has financial and adoptive planning responsibility for a ward of the commissioner of human services. A placing agency may also include a supervisory agency which is providing adoptive planning services for the child.
Subp. 11. Postplacement services.
"Postplacement services" means social services provided to the child and the adoptive parents from the time of placement until legal adoption.
Subp. 12. Postadoption services.
"Postadoption services" means social services provided after legal adoption to the adoptive parents, birth parents, or adopted individuals.
Subp. 13. Relative.
"Relative" means an individual who is related to a child within the third degree according to the civil table of consanguinity by blood, marriage, or adoption as a parent, stepparent, brother, sister, grandparent, great grandparent, aunt, uncle, niece, or nephew.
Subp. 14. State adoption exchange.
"State adoption exchange" means the central adoptive home and child registration service operated by the Minnesota Department of Human Services' adoption unit for use by authorized child-placing agencies.
Subp. 15. State agency.
"State agency" means the commissioner of human services or the Minnesota Department of Human Services.
Subp. 16. Subsidized adoption.
"Subsidized adoption" means an adoption in which an agreement provides that financial assistance shall be made to the adoptive parents, subsequent guardian, or conservator because of special needs of a child who is certified as eligible for subsidy.
Subp. 17. Suitability study.
"Suitability study" means the preadoptive counseling and subsequent evaluation made by the authorized child-placing agency to determine whether or not the proposed adoptive home can adequately parent and meet the social, educational, and health needs of a particular child.
History
- Statutory Authority: MS s 14.388; 245A.09; 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; L 1994 c 631 s 31; L 2001 1Sp9 art 15 s 32; 29 SR 1367
Minn. R. 9560.0030 Legally Freeing a Child for Adoption
Subpart 1. Legal or voluntary termination.
Before a valid agency adoptive placement may occur, court termination of the parent's rights under Minnesota Statutes, sections 260C.301 to 260C.317, or an agreement under Minnesota Statutes, section 259.25, which confers authority to place a child for adoption with the commissioner or a licensed child-placing agency must be obtained from any individual recognized by state law as having parental rights.
A. A local social service agency shall seek to free a child for adoption through court termination of parental rights unless the commissioner accepts, in writing, the agreement conferring authority to place the child.
B. On all agency adoptive placement plans, the local social service or licensed child-placing agency shall inform the birth parent, who is identified on the child's birth record by birth registration, affidavit, or court order, of the statutory conditions under which birth record information and certain agency record information may or may not be released. The agency shall assist the birth parent with the procedures in subitems (1) to (3).
Subp. 2. Written consents.
All written consents to adoption, executed in a manner prescribed by Minnesota Statutes, sections 259.24, subdivision 5, and 259.25, must be filed with the court prior to the hearing on the adoption petition.
Subp. 3. Execution of consents.
All agreements with an agency to place a child and consents to adoption by the child's parent or legal guardian, must be executed before two competent witnesses and an agency representative. Consents to an adoption by the child's parent when that parent is either a copetitioner in the adoption proceedings or does not have custody of the child must be executed before two competent witnesses, but need not be executed before an agency representative. All consents by a parent must contain a notice to the parent of the right to revoke the consent for any reason within ten working days of its execution. Consents obtained in another state may be executed according to either Minnesota law or applicable consent laws of the other state.
The consentor's and the agency representative's signatures must each be duly notarized.
The two witnesses must be 18 years of age or older and of sound mind, and neither may be the subscribing notary public.
The agency representative must be a person qualified to counsel the consenting party on adoption matters.
Revocation of a parent's consent must be in writing and must be received by the agency no later than the tenth working day after the consent was executed.
Subp. 4. Affidavits.
Affidavits submitted by individuals who allege or deny parenthood which contain a consent to adoption must be executed according to the requirements in subpart 3.
History
- Statutory Authority: MS s 245A.09; 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 17 SR 1279; L 1994 c 631 s 31; L 1999 c 139 art 4 s 2; L 2001 1Sp9 art 15 s 32; L 2015 c 21 art 1 s 109
Minn. R. 9560.0040 State Photographic Adoption Exchange
Subpart 1. Child placement.
To ensure each child's placement in an adoptive home preferably away from the child's area of prior residence, the State Adoption Exchange shall be used by all authorized child-placing agencies in accordance with procedures under Minnesota Statutes, section 259.75, and the commissioner.
A. Each authorized child-placing agency shall register the child on the exchange using the registration form prescribed by the commissioner accompanied by a recent photograph of the child.
B. An authorized child-placing agency seeking to defer registration of the child shall make a written request to the exchange for written approval. The request for deferral must meet one of the conditions in subitems (1) to (6).
Subp. 2. Special needs.
The local authorized child-placing agency shall, without undue delay, seek an adoptive home which will meet the child's special needs according to Minnesota Statutes, section 259.29.
A. The placing agency shall follow the order of placement preference and exception guidelines under Minnesota Statutes, section 259.29.
B. The adoptive placement of an Indian child who comes under the Indian Child Welfare Act of 1978, United States Code, title 25, sections 19 et seq., as amended through December 31, 1982, must follow the order of preference as determined by the child's tribe.
C. The placing agency shall document in its record any recruitment efforts it made and any requests or decisions made by the child's parent, the tribe, court, or agency which affects the order of placement preference.
Subp. 3. Recruitment.
As required in Minnesota Statutes, section 259.77, an agency shall make special efforts to recruit adoptive families from among the child's relatives, if feasible, and shall provide for the diligent recruitment of potential foster and adoptive families that reflect the ethnic and racial diversity of children in the state for whom foster and adoptive homes are needed. The agency may work with various community and religious organizations, as well as the media, and may accept offers of service and monetary contributions to successfully recruit families for adoption.
History
- Statutory Authority: MS s 14.388; 245A.09; 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 17 SR 1279; L 1994 c 631 s 31; 29 SR 1367
Minn. R. 9560.0050 Child's Foster Home
Subpart 1. Criteria.
The local social service agency may consider the foster home in which the child is currently living as a potential adoptive resource for the child.
In such cases the criteria in items A to C apply.
A. The child has special needs as defined in part 9560.0040, subpart 2 which the foster family will be able to adequately meet, or the child is older than an infant, has lived at least 12 consecutive months in the foster home, and is an integrated member of the foster family.
B. The foster family will be able to accept the child and the child's background and help the child understand the adoption.
C. The foster family is either the best adoptive resource for the child or is at least comparable to available resources.
Subp. 2. Joint decision required.
Except in Hennepin, Ramsey, and St. Louis Counties, a joint decision between the state agency's adoption unit and the local social service agency as to whether the foster home would be a suitable adoptive home for the child must be made. The agencies shall base their decision upon:
A. the local social service agency's written statement and recommendation to the state agency identifying applicable criteria; and
B. the state agency's written response either approving or disapproving the recommendation.
Subp. 3. Local agency approval required.
Where a licensed child-placing agency which is supervising a child under state guardianship wishes to consider the foster home as the adoptive resource for the child, it shall obtain approval from the local social service agency which has financial responsibility.
History
- Statutory Authority: MS s 245A.09; 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 17 SR 1279
Minn. R. 9560.0060 Child Placement
Subpart 1. In general.
The policies in subparts 2 and 3 govern the local social service agency's preplacement and postplacement activities.
Subp. 2. Preplacement activities.
Preplacement activities must include those in items A to E.
A. The adoptive family's agency shall, prior to the child being placed in an adoptive home, meet with the child's agency in a preplacement conference, obtain written background and health history on the child, and visit the child in the foster home. The preplacement conference may only be waived if the child is under six months of age and is without special needs.
B. The child's agency shall prepare the child for adoptive placement and provide the adoptive parents with a written nonidentifying background and health history of the child in which all identifying information on the child's relatives has been omitted. The history is to be written in a manner which is understandable and meaningful to the adoptive family.
C. An adoptive family shall spend at least two days in the child's community becoming acquainted with the child prior to the transfer of physical custody from the agency to them. This provision may be waived, in the discretion of the agency, where extraordinary circumstances dictate prompt placement.
D. The adoptive parents shall enter into a written adoptive placement agreement with the commissioner.
E. During the time the child resides in the adoptive home, the local social service agency shall continue administrative reviews but is not required to schedule a court dispositional hearing unless the child is either removed from the home or is not legally adopted within two years of the date of placement.
Subp. 3. Postplacement activities.
Postplacement activities must include items A and B.
A. The agency placing the child shall arrange for and obtain written placement and postplacement reports from the agency supervising the child in the adoptive home.
B. The supervising agency shall provide postplacement counseling with the adoptive parents in a manner that enables the child and adoptive family to become an integrated family.
History
- Statutory Authority: MS s 245A.09; 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 17 SR 1279
Minn. R. 9560.0070 [Repealed, 13 SR 529]
[Repealed, 13 SR 529]
Minn. R. 9560.0071 [Repealed, L 2012 c 216 art 6 s 14]
[Repealed, L 2012 c 216 art 6 s 14]
Minn. R. 9560.0080 [Repealed, 13 SR 529]
[Repealed, 13 SR 529]
Minn. R. 9560.0081 [Repealed, L 2009 c 163 art 2 s 39]
[Repealed, L 2009 c 163 art 2 s 39]
Minn. R. 9560.0082 [Repealed, L 2012 c 216 art 6 s 14]
[Repealed, L 2012 c 216 art 6 s 14]
Minn. R. 9560.0083 Repealed by subpart
Subpart 1.
[Repealed, L 2009 c 163 art 2 s 39; L 2012 c 216 art 6 s 14]
Subp. 2.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 3.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 4.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 5.
[Repealed, L 2009 c 163 art 2 s 39; L 2012 c 216 art 6 s 14]
Subp. 6.
[Repealed, L 2009 c 163 art 2 s 39; L 2012 c 216 art 6 s 14]
Subp. 7.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 8.
[Repealed, L 2012 c 216 art 6 s 14]
Minn. R. 9560.0090 [Repealed, 13 SR 529]
[Repealed, 13 SR 529]
Minn. R. 9560.0091 Repealed by subpart
Subpart 1.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 2.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 3.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 4.
[Repealed, L 2009 c 163 art 2 s 39; L 2012 c 216 art 6 s 14]
Subp. 5.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 6.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 7.
[Repealed, L 2012 c 216 art 6 s 14]
Minn. R. 9560.0092 [Repealed, L 2008 c 361 art 6 s 59]
[Repealed, L 2008 c 361 art 6 s 59]
Minn. R. 9560.0093 Repealed by subpart
Subpart 1.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 2.
[Repealed, L 2008 c 361 art 6 s 59]
Subp. 3.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 4.
[Repealed, L 2012 c 216 art 6 s 14]
Minn. R. 9560.0100 [Repealed by amendment, 9 SR 909]
[Repealed by amendment, 9 SR 909]
Minn. R. 9560.0101 [Repealed, L 2012 c 216 art 6 s 14]
[Repealed, L 2012 c 216 art 6 s 14]
Minn. R. 9560.0102 Repealed by subpart
Subpart 1.
[Repealed, L 2012 c 216 art 6 s 14]
Subp. 2.
[Repealed, L 2007 c 147 art 2 s 63; L 2012 c 216 art 6 s 14]
Subp. 3.
[Repealed, L 2012 c 216 art 6 s 14]
Minn. R. 9560.0110 Termination of Adoptive Placement
Subpart 1. Notice and reason.
The local social service or licensed child-placing agency supervising the child shall notify the state agency's adoption unit within five working days that the child's adoptive placement is terminated when one of the following circumstances arise:
A. the child is removed from the adoptive home;
B. the child dies;
C. the adoptive placement has continued for two years without the formalization of the adoption; or
D. adoption is no longer the agency's permanent plan for the child.
Subp. 2. Finding of good cause.
Termination of the adoptive placement by a local social service agency may be made only upon a specific finding of good cause by responsible agency personnel. Good cause exists when the placement is shown to be detrimental to the physical, mental, or emotional well-being of the child or the adoptive parents. Prior to seeking the removal of the child from the home, the agency shall:
A. inform the adoptive parents in writing of the reasons for removal; and
B. in an emergency situation involving danger to the child's health or well-being, request the assistance of the appropriate law enforcement authorities in the immediate removal of the child from the home.
History
- Statutory Authority: MS s 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909
Minn. R. 9560.0120 Services to Children in Independent Placements
Subpart 1. Evaluation of identified family.
When the local social service agency learns that the child's parent or relative seeks to place the child for the purpose of adoption with a person who is an extended family member not defined in part 9560.0020, subpart 13 as a relative or is personally known to the child's parent, the agency shall:
A. evaluate with the child's parent whether the placement will be in the interest of the child;
B. arrange for a preadoption evaluation of the proposed home when it is needed to determine whether the placement plan is suitable for the child;
C. assist the child's parents in legally freeing the child for adoption; and
D. arrange the adoptive placement according to procedures in parts 9560.0040 to 9560.0110, unless a court of competent jurisdiction has determined that the best interests of the child are served by waiving the requirement of agency placement.
Subp. 2. Waiver of agency placement requirement.
When the local social service agency is informed by the commissioner that a court of competent jurisdiction has waived the agency placement requirement, whether or not the child is already in the home:
A. the local social service agency shall pursue licensing that home for foster care unless an adoption petition has been properly filed; and
B. the prospective parents shall notify the commissioner of the child's placement within 30 days of that placement unless the commissioner was already involved in the proposed placement.
Subp. 3. Unlicensed intermediary.
When the local social service agency learns that the child's parent or the prospective parent desires the adoptive placement of the child through the assistance of an unlicensed intermediary, the local social service agency shall take necessary steps, including legal actions, if necessary, to prohibit the placement.
Subp. 4. Transportation of child.
When the local social service agency learns that the child's parent, legal guardian, prospective parents, or the unlicensed intermediary desire to transport the child into or out of Minnesota for adoptive placement, the local social service agency shall advise the party or parties that the transportation requires the prior approval and consent of the commissioner.
The commissioner shall not give consent to or approval of importation or exportation of the child when a proposed placement was or is being arranged by an unlicensed intermediary even though a court of competent jurisdiction may waive the requirement of agency placement.
Applications for importation or exportation of a child must be made by the child's parent or legal guardian according to the statutory provisions of both the sending and the receiving states.
History
- Statutory Authority: MS s 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909
Minn. R. 9560.0130 Children in Nonrelative Homes
Subpart 1. Requirement of services.
When the local social service agency learns that a child is residing in a nonrelative home for the purpose of adoption, it shall carry out the duties of the commissioner and provide all appropriate child protection services prescribed under Minnesota Statutes, chapter 245A and section 252.28, subdivision 2, child-placing under Minnesota Statutes, sections 257.03, 257.04, and 260.851, and the Juvenile Court Act under Minnesota Statutes, chapter 260.
Local social service agency actions include:
A. ensuring that the child is returned to a responsible person or agency in the state of origin when the child was imported into Minnesota in violation of statutes;
B. obtaining temporary legal custody;
C. placing the child into a licensed foster home or licensing the current home;
D. providing services to the child's parents in making appropriate permanent plans for the child.
Subp. 2. Investigative report.
In addition, within 30 days of learning that a child resides in a nonrelative home for the purpose of adoption, the local social service agency shall submit to the state agency a full written report of its investigation of the proposed or actual placement. The report shall include:
A. names and addresses of the child's parents, the child, and the intended home;
B. the names, addresses, dates, and the activities of all individuals involved in the independent placement plan;
C. the circumstances surrounding the placement plan; and
D. any compensation, promise of payment, solicitation, receipt of payment by any person to any person for placing or assisting in the placement of the child.
Subp. 3. Legal action against violators.
The local social service agency shall, in writing, request the county attorney's opinion on taking legal action against the individuals involved in violations of child placement statutes.
Subp. 4. Further recommendations.
The state agency's adoption unit shall recommend to the local social service agency any additional action required for the protection of the child.
History
- Statutory Authority: MS s 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 13 SR 1448; L 1999 c 139 art 4 s 2
Minn. R. 9560.0140 Services to Families Applying for Adoption
Subpart 1. Intake policy.
Each local social service agency shall establish a written intake policy, including social service fees when applicable, which provides for:
A. performance of a suitability study upon the receipt of a properly filed adoption petition;
B. screening of applications received from potential adoptive parents for children under state guardianship and other adoptable children who have special needs;
C. supervision of adoptive families moving into Minnesota when so requested by the prior state of residence through the state agency's adoption unit; and
D. performance of suitability studies on prospective families when requested by the state agency's adoption unit for out-of-state adoption agencies.
Subp. 2. Standards governing adoptive homes.
Local social service agencies shall consider at a minimum the basic standards in items A, B, and C when determining the suitability of prospective adoptive parents.
A. The applicant shall be primarily motivated to meet the child's needs, emotionally mature with healthy interpersonal relationships, in good physical and mental health, and able to adequately support and parent a child in a healthy and emotionally secure environment.
B. The applicant shall have the capacity to accept and incorporate into the family a child born to other parents and to assist the child in understanding the child's genetic background and adoption.
C. The applicant must not be delayed or denied the opportunity to adopt based on the race, color, or national origin of the applicant or the child involved.
Subp. 3. Determining suitability of adoptive parents.
The local social service agency is responsible for determining the suitability of adoptive parents whom it has accepted for service.
Prospective adoptive parents which the local social service agency certifies as suitable for placement of a child shall be registered on the state adoption exchange. This requirement is optional for Hennepin, Ramsey, and St. Louis social service agencies.
Prospective adoptive parents deemed unsuitable by the local agency shall be informed in writing of that decision. Notification must be sent after the agency has counseled with the family on the relevant facts upon which the decision was based.
Prospective adoptive parents which the local agency determines are not suitable for an adoptive placement may be further reviewed by that agency, the county welfare or human service board, or the state agency's adoption unit upon the written request of the applicant. This review is limited to those factors on which the local agency based its decision.
Grievances arising out of adverse suitability studies are not subject to further administrative review pursuant to Minnesota Statutes, chapter 14, or Minnesota Statutes, section 256.045.
History
- Statutory Authority: MS s 14.388; 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 17 SR 1279; 27 SR 1367
Minn. R. 9560.0150 Interstate and International Adoptive Placements
Subpart 1. Requirements.
No child may be brought into or sent out of Minnesota for adoptive placement into a nonrelative's home unless one of the following conditions is met:
A. the commissioner, as state administrator of the Interstate Compact on the Placement of Children, issues written approval for the importation or exportation pursuant to the requirements of that compact; or
B. the commissioner has, in noncompact situations, issued a written consent to importation or exportation of the child, pursuant to applicable state law.
Subp. 2. Unlicensed third parties.
The commissioner shall not issue consent or approval for the movement of a child across state lines if the proposed placement is planned or made by an unlicensed third party.
Subp. 3. Approval for importation.
The commissioner, upon receipt of all required documentation, shall issue consent or approval for importation when:
A. the foreign country allows the child to be exported for the purpose of adoption in the United States;
B. an authorized child-placing agency in the sending state has adoptive planning rights to the child and requests the importation into Minnesota; or
C. a family plans to move to Minnesota and has a child placed with them according to the laws of the other state or country.
Subp. 4. Documents required.
The documents required for the commissioner's consent and approval are:
A. an authorized child-placing agency's written confirmation that the family is approved for adoptive placement;
B. a document which identifies the child, the child's birth date, birthplace, and parentage; and
C. legal documents which demonstrate that the child has been properly released for adoption.
Subp. 5. Direct correspondence between agencies.
Local social service agencies, other than Hennepin, Ramsey, and St. Louis Counties, shall route correspondence directed to out-of-state agencies through the state agency's adoption unit.
History
- Statutory Authority: MS s 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 17 SR 1279
Minn. R. 9560.0160 Legalization of the Adoptive Placement
The commissioner or an authorized child-placing agency shall initiate the process of legalizing adoptive placements of agency-placed children by sending the petitioner, or the petitioner's attorney, such nonidentifying information as is needed for completion of the adoption petition.
When an adoption petition which fails to meet the filing requirements of Minnesota Statutes, section 259.22, subdivisions 2 and 3, is nevertheless filed in a court of competent jurisdiction, the commissioner shall recommend to the court dismissal of that petition.
The final report and recommendation on a properly filed petition of an investigation by the commissioner or an authorized child-placing agency shall be made to the court within the 90-day time period.
The report and recommendation to the court on the form prescribed by the commissioner shall verify the allegations in the petition, determine whether the child is a proper subject for adoption, and ascertain the suitability of the proposed family and child to each other. When the child's placement was arranged through the agency, the report shall also include a statement on how the agency applied the order of placement preference in part 9560.0040, subpart 2 in selecting the adoptive family. On intercounty adoptions, the order of placement preference is deemed to have occurred when the appropriate authority in the child's country of birth approved the placement of the child abroad.
The commissioner or an authorized child-placing agency shall request a continuance of the court when the investigation cannot be completed in the 90-day time period.
A copy of all requests for continuances must be filed with the state agency's adoption unit, the servicing agency, and the petitioner's attorney.
History
- Statutory Authority: MS s 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 17 SR 1279
Minn. R. 9560.0170 Postadoption Services
Subpart 1. Postadoption assistance.
Authorized child-placing agencies shall provide reasonable postadoption assistance and counseling services pursuant to Minnesota Statutes, sections 259.83 and 259.89, to adoptive parents, birth parents, adult genetic siblings, and adopted persons who have reached the age of 19 at their request in a manner which strengthens the adoption contract and complies with Minnesota Statutes, sections 259.53, subdivision 3, 259.61, and 259.83, subdivision 4, and applicable federal regulations on confidentiality and privacy of child welfare and adoption records. The agency shall:
A. prepare general background and health information with the deletion of all identifying information such as names, specific dates, addresses, and locations, to aid the adoptive parents of a minor child or the adopted adult 19 years of age or older in understanding the person's genetic background and adoption;
B. contact any one of the parties, in a personal and confidential manner;
C. provide the services requested when there is a mutual desire to receive or share information or to have contact;
D. provide services to adult genetic siblings where the agency has determined that:
E. provide services to a genetic relative for information or contact upon the written consent of the birth parent or verification that the birth parent is deceased;
F. share with the requesting person what options the agency may consider using to locate the other person; and
G. determine the extent and frequency to which the person contacted wishes to share information or have contact whether directly or through the agency.
Subp. 2. Notification of birth parent.
Upon notice from the state agency adoption unit that the adopted adult of the age specified in the statute requests the original birth record, authorized child-placing agencies shall locate and notify each birth parent named on that record. The agency shall:
A. make complete and reasonable efforts within six months to locate and notify the birth parent in a personal and confidential contact of the right to file an affidavit with the state registrar and the effects of filing within the time allowed an affidavit of disclosure or nondisclosure, or of filing nothing, on the original birth record information; and
B. file through the state agency adoption unit the agency affidavit of notification for the state registrar that each named birth parent was located and notified, was not located and notified, or was found to be deceased.
Subp. 3. Notification of genetically related persons.
An authorized child-placing agency shall, as required by Minnesota Statutes, section 259.83, subdivision 1, make a diligent effort to locate and inform genetically related persons of the medical or genetic information the agency has received. If the genetically related person is an adopted minor, the agency shall relay the information to the adoptive parent, subsequent guardian, or conservator. The agency shall make a diligent effort to notify the birth parents when the agency learns that the adopted person has died.
Subp. 4. Locating birth parent.
Adopted persons of adult age placed for adoption by an authorized agency on or after August 1, 1982, may, under Minnesota Statutes, section 259.83, subdivision 3, upon reaching adult age, request from the placing agency the name, last known address, birth date, and birthplace of the birth parents who were identified on the adopted person's original birth record. The agency shall:
A. determine that the agency has on file the birth parent's affidavit attesting to receipt of information in the provisions of Minnesota Statutes, section 259.83, subdivision 3;
B. determine that the birth parent either has not filed a subsequent affidavit objecting to the release of identifying information or has withdrawn that affidavit;
C. disclose the identifying information to the adopted person when the condition in item A is met and when the agency has verified that the condition in item B exists or that the birth parent is deceased; and
D. contact the birth parent if requested by the court upon the adopted person's petition for release of identifying information. The agency shall advise the birth parent of the opportunity for that birth parent to present evidence to the court, either directly or through the agency, that nondisclosure of the information is a greater benefit to the birth parent than disclosure to the adopted person.
Subp. 5. Counseling services.
Authorized child-placing agencies shall provide liaison and skilled counseling services through appropriately trained social workers to the adoptive parents, adopted adults who have reached the age of 19, birth parents, and adult genetic siblings.
Subp. 6. Documentation of postadoption services.
Authorized child-placing agencies shall document the postadoption services provided in the agency's adoption service record.
Subp. 7. Reimbursement.
Authorized child-placing agencies may require a reasonable expense reimbursement for providing postadoption services.
History
- Statutory Authority: MS s 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; 17 SR 1279; L 1994 c 631 s 31; L 2001 1Sp9 art 15 s 32
Minn. R. 9560.0180 Maintenance of Adoption Records
Subpart 1. Content.
The adoption records of authorized child-placing agencies shall contain copies of all relevant legal documents, responsibly collected genetic, medical, and social history, the child's placement record, documentation of the placement preference in part 9560.0040, subpart 2, copies of all pertinent agreements or contracts, copies of all reports and recommendations to the court, and copies of all pertinent correspondence and a summary of postadoption services. Nonidentifying information in the agency record may be disclosed to the parties it concerns according to the criteria in parts 9560.0060, subpart 2, item B and 9560.0170, subpart 1, item A. Identifying information may not be disclosed except under Minnesota Statutes, sections 259.61, 259.83, subdivision 3, and 259.89. The agency shall maintain a record of the postadoption services provided under part 9560.0170. Disclosure of identifying information within the standards of part 9560.0170, subpart 4 does not constitute disclosure of the agency's adoption record.
Subp. 2. Use.
Each adoption record constitutes the permanent record upon which all court action is based, agency services are administrated, and the adoptive family unit is identified and established.
Subp. 3. Confidentiality.
All adoption records are confidential and permanent. Adoption records must be retained under a protected record system which ensures confidentiality and lasting preservation.
History
- Statutory Authority: MS s 257.05; 257.175; 259.53; 259.67; 259.75; 259.87
- History: 9 SR 909; L 1994 c 631 s 31
Minn. R. 9560.0210 Purpose
The purpose of child protective services is to protect children from maltreatment.
History
- Statutory Authority: MS s 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303
Minn. R. 9560.0212 Scope
Parts 9560.0210 to 9560.0234 govern the administration and provision of child protective services by local social service agencies.
History
- Statutory Authority: MS s 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303
Minn. R. 9560.0214 Definitions
Subpart 1. Scope.
As used in parts 9560.0210 to 9560.0234, the following terms have the meanings given them.
Subp. 2. Alleged offender.
"Alleged offender" means a person who is reported to have committed maltreatment.
Subp. 3.
[Repealed, 32 SR 565]
Subp. 4. Child.
"Child" means a person under the age of 18.
Subp. 5. Child protection worker.
"Child protection worker" means an employee of a local agency who is responsible for providing child protective services.
Subp. 6. Child protective services.
"Child protective services" means services provided by the local agency to protect a child who has reportedly been maltreated by a person within the family unit or within a facility who is responsible for the child's care. Child protective services include assessment or investigation; protective intervention under parts 9560.0218, subpart 8, 9560.0220, subpart 8, and 9560.0222, subpart 11; and the planning and provision of services under part 9560.0228.
Subp. 6a. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designee.
Subp. 7. County board.
"County board" means the county board of commissioners in each county. A human services board established under Minnesota Statutes, chapter 402, or a welfare board established under Minnesota Statutes, chapter 393, shall be considered the county board for purposes of parts 9560.0210 to 9560.0234.
Subp. 8. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 9.
[Repealed, 17 SR 3412]
Subp. 10. Facility.
"Facility" means a facility or program for the care of children required to be licensed by the Department of Corrections under Minnesota Statutes, section 241.021, or the Department of Human Services under Minnesota Statutes, chapter 245A.
Subp. 10a. Family assessment.
"Family assessment" means a comprehensive assessment of child safety, risk of subsequent child maltreatment, and family strengths and needs that:
A. is applied to child maltreatment reports that do not allege substantial child endangerment;
B. does not include a determination as to whether child maltreatment occurred; and
C. determines the need for services to address the safety of family members and the risk of subsequent maltreatment.
Subp. 11. Family unit.
"Family unit" means:
A. the child; and
B. all persons related to the child by blood, marriage, or adoption; and
C. persons living within the same household as the child; or
D. the child's guardian.
Subp. 12. Imminent danger.
"Imminent danger" means that a child is threatened with immediate and present maltreatment that is life threatening or likely to result in abandonment, sexual abuse, or serious physical injury.
Subp. 12a. Indian child.
"Indian child" means an unmarried person under the age of 18 who is either a member of or eligible for membership in an American Indian tribe.
Subp. 13. Infant medical neglect.
"Infant medical neglect" includes, but is not limited to, the withholding of medically indicated treatment from a disabled infant with a life threatening condition. For the purposes of this subpart, "infant" means a child less than one year of age, or a child one year of age or older who has been continuously hospitalized since birth as specified in Code of Federal Regulations, title 45, part 1340, section 15(b)(3)(i). The term "withholding of medically indicated treatment" means the failure to respond to the infant's life threatening condition by providing treatment including appropriate nutrition, hydration, and medication which, in the treating physician's or physicians' reasonable medical judgment, will be most likely to be effective in ameliorating or correcting all conditions, except that the term does not include the failure to provide treatment other than appropriate nutrition, hydration, or medication to an infant when, in the treating physician's or physicians' reasonable medical judgment:
A. the infant is chronically and irreversibly comatose;
B. the provision of the treatment would merely prolong dying, not be effective in ameliorating or correcting all of the infant's life threatening conditions, or otherwise be futile in terms of the survival of the infant; or
C. the provision of the treatment would be virtually futile in terms of the survival of the infant and the treatment itself under the circumstances would be inhumane.
Subp. 14. Investigation.
"Investigation" means fact gathering related to the current safety of a child and the risk of subsequent maltreatment that determines:
A. whether child maltreatment occurred; and
B. whether child protective services are needed. An investigation must be used for reports alleging substantial child endangerment, and for reports of maltreatment in facilities identified in Minnesota Statutes, section 260E.03, subdivision 6.
Subp. 15. Law enforcement agency.
"Law enforcement agency" means the Department of Public Safety, the local police or sheriff's department, or the state highway patrol.
Subp. 16. Legal custody.
"Legal custody" means the right to care, custody, and control of a child as defined in Minnesota Statutes, section 260B.007, subdivision 8, or 260C.007, subdivision 22.
Subp. 17. Local agency.
"Local agency" means the social services agency authorized by the county board to provide social services and financial assistance under Minnesota Statutes, section 393.07.
Subp. 18. Maltreatment.
"Maltreatment" means physical or sexual abuse or neglect under Minnesota Statutes, section 260E.03, subdivision 12. "Neglect" includes prenatal exposure to a controlled substance as listed in Minnesota Statutes, section 253B.02, subdivision 2, and infant medical neglect.
Subp. 19. Report or report of maltreatment.
"Report" or "report of maltreatment" means an oral or written report received by a local agency that alleges a child is being or has been maltreated.
Subp. 20. Shelter care facility.
"Shelter care facility" means a physically unrestricting facility, such as a hospital, group home, or licensed facility for foster care, used for the temporary care of a child.
Subp. 21. Subject.
"Subject" means any person on whom the local agency retains private or confidential information obtained from reports of maltreatment or during assessments or investigations of reports of maltreatment.
History
- Statutory Authority: MS s 14.388; 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412; L 1999 c 139 art 4 s 2; 25 SR 1772; L 2001 c 178 art 1 s 44; 32 SR 565; L 2015 c 71 art 1 s 126
Minn. R. 9560.0216 Basic Requirements
Subpart 1. Response to reports of maltreatment.
The local agency shall accept and screen or forward according to subpart 3 every report of maltreatment received from any source. Upon request, the local agency shall inform the reporter within ten days after the report is made, either orally or in writing, whether the report was accepted for assessment or investigation.
Subp. 1a. County of service: no imminent danger.
The local agency shall provide child protective services to any child residing in the county who is alleged to have been maltreated.
In any situation of no imminent danger, including a situation where a report of maltreatment involves a member of the family unit who is an employee or board member of the local agency, the local agency may request another local agency to provide child protective services.
Subp. 2. County of service: imminent danger.
In a situation of imminent danger, the local agency shall screen and investigate reports of maltreatment of any child found in the county without regard to the legal residence of the child.
A. The local agency shall provide child protective services as an emergency social service.
B. The local agency shall not seek a determination of the county of financial responsibility for the child and reimbursement for services provided until after providing for the safety of the child.
Subp. 3. Screening reports.
A. The local agency shall screen reports of maltreatment to determine the need for assessment or investigation. Except for those reports described in item B, the local agency shall conduct an assessment or investigation if a report meets the criteria in subitems (1) to (3):
B. Upon receipt of a report, the local welfare agency shall determine whether to conduct a family assessment or an investigation as appropriate to prevent or provide a remedy for child maltreatment. The local welfare agency:
C. If a report alleges maltreatment in a facility licensed by the commissioner, other than a foster care or family day care facility, the local agency shall immediately forward the report to the commissioner for investigation.
Subp. 3a. Report alleging maltreatment of a child of a facility license holder.
A. If the report of maltreatment alleges maltreatment of a child related by blood, marriage, or adoption to the license holder in a facility during nonbusiness hours of the facility, the local agency shall follow the procedures under part 9560.0220. The local agency shall notify the responsible licensing agency listed in part 9560.0222, subpart 1, when the local agency receives the report of maltreatment and when the local agency completes an assessment or investigation.
B. If the report of maltreatment alleges maltreatment of a child in a facility during business hours of the facility and if the child is related by blood, marriage, or adoption to the license holder, facility staff, or volunteer of the facility, the investigating agency shall follow the procedures under part 9560.0222.
Subp. 4. Notifying law enforcement.
The local agency shall notify the law enforcement agency orally and in writing within 24 hours of receiving a report of maltreatment.
Subp. 5. Time frames for initiating an assessment or investigation.
The local agency shall respond to reports of maltreatment within the time limits under item A or B.
A. When a report alleges substantial child endangerment, the local agency shall initiate an investigation immediately.
B. When the report does not allege substantial child endangerment, the local agency shall initiate an assessment within five calendar days.
Subp. 5a. Conflict of interest.
A person who conducts an assessment or investigation under this part or under Minnesota Statutes, section 260E.31, may not have:
A. any direct or shared financial interest or referral relationship resulting in a direct or shared financial gain with a provider of treatment for child abuse and neglect; or
B. a personal or family relationship with a party in the assessment or investigation. If an independent assessor or investigator is not available, the person responsible for making the maltreatment determination may use the services of an assessor or investigator with a financial interest, referral relationship, or personal or family relationship.
Subp. 6. In-person observation.
A face-to-face contact with the child and primary caretaker sufficient to complete a safety assessment and ensure the immediate safety of the child is required:
A. immediately if substantial child endangerment is alleged; and
B. within five calendar days for all other reports.
Subp. 7. Notice to persons being interviewed.
The agency conducting an assessment or investigation:
A. shall orally inform a person asked to provide private or confidential data about himself or herself as part of an assessment or investigation:
B. shall provide in writing:
C. may waive the required notice in items A and B when interviewing a child under ten years of age who is reported to be maltreated.
History
- Statutory Authority: MS s 14.388; 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412; 25 SR 1772; L 2003 1Sp14 art 11 s 11; 32 SR 565
Minn. R. 9560.0218 Response to Reports of Infant Medical Neglect
Subpart 1. Screening.
The local agency shall screen reports alleging infant medical neglect to determine whether the report meets the criteria in items A to E:
A. the child is an infant as defined in part 9560.0214, subpart 13;
B. the infant is hospitalized;
C. the allegations constitute infant medical neglect as defined in part 9560.0214, subpart 13;
D. the report contains sufficient identifying information to permit an assessment; and
E. the report contains information that has not previously been received by the local agency. Reports meeting the criteria in items A to E must be assessed as soon as the report is received according to the procedures in subparts 2 to 6.
Subp. 2. Hospital notice.
The local agency shall inform the hospital where the infant is hospitalized that a report of infant medical neglect has been received and contact the liaison designated by the hospital to handle reports of infant medical neglect.
Subp. 3. Department consultation.
The local agency shall consult with the department's child protective services staff.
Subp. 4. Consultation with parents and physician.
The local agency shall consult with the infant's parents, the attending physician, and other appropriate hospital staff to determine the parents' understanding of the infant's condition, treatment choices, and prognosis.
Subp. 5. Medical consultation.
The local agency shall consult with an independent medical consultant who shall determine whether infant medical neglect has occurred.
A. The local agency shall arrange for a review by the medical consultant of the infant's medical records.
B. The local agency shall arrange for an examination of the infant by the medical consultant if necessary to make the determination. The local agency shall:
Subp. 6. Parental authorization.
If the medical consultant confirms infant medical neglect and recommends treatment, the local agency shall, with the medical consultant, seek authorization from the infant's parents for the recommended treatment.
Subp. 7. Local agency determinations.
The local agency shall make determinations in accordance with item A or B.
A. If the parents authorize the recommended treatment, the local agency shall make a determination that maltreatment has not occurred and that child protective services are not needed.
B. If the parents refuse to authorize the recommended treatment, the local agency shall make a determination that maltreatment occurred and that child protective services are needed.
Subp. 8. Protective intervention.
If the local agency makes a determination that maltreatment occurred and that child protective services are needed, the local agency shall:
A. ask the county attorney to obtain a transfer of legal custody of the infant to the local agency in order to provide the recommended treatment; and
B. provide protective services under part 9560.0228.
History
- Statutory Authority: MS s 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412
Minn. R. 9560.0220 Response to Reports of Maltreatment Within the Family Unit
Subpart 1. Basic procedures.
The local agency shall follow the basic requirements in part 9560.0216 when a report alleges maltreatment by a person within the family unit who is responsible for the child's care. The local agency shall also collect available and relevant information to determine whether maltreatment occurred and whether protective services are needed as specified in Minnesota Statutes, section 260E.20, subdivision 3. Relevant information includes information on the existence of substance abuse and domestic violence as specified in Minnesota Statutes, section 260E.20, subdivision 1, paragraph (f).
Subp. 2. Coordination with law enforcement.
The local agency shall:
A. ask a representative from a law enforcement agency to accompany the child protection worker to interview the child when a report of maltreatment:
B. coordinate its assessment or investigation with the law enforcement agency's investigation to avoid duplication of fact finding efforts and multiple interviews; and
C. prepare an independent report of its assessment or investigation.
Subp. 3. Child interviews.
For family assessments, it is the preferred practice to request a parent or guardian's permission to interview the child prior to conducting the child interview, unless doing so would compromise the safety assessment. When a local agency and a law enforcement agency that coordinate assessments and investigations jointly determine that an interview by one person with the child who is reported to be maltreated is in the best interests of the child, and the interview is conducted by the law enforcement agency, the interview can be substituted for the procedures in items A to F.
When necessary to make the determinations in subpart 6, the local agency shall interview any other minors within the family unit. When interviewing children, the local agency shall follow the procedures in items A to F.
A. The local agency shall interview the child in a face-to-face meeting in a manner appropriate to the child's age, development, and ability to understand and verbalize. The agency shall use a question-and-answer interviewing format with questioning as nondirective as possible to elicit spontaneous responses. A face-to-face observation of the child is required immediately for reports alleging substantial child endangerment and within five calendar days for all other reports.
B. The local agency may waive the notice required in part 9560.0216, subpart 7, when interviewing a child under ten years of age who is reported to be maltreated.
C. The local agency may interview a child under this part without parental consent. By the time the assessment or investigation is completed, the local agency shall notify the parent, legal custodian, or guardian that the interview has occurred unless ordered by the juvenile court to withhold notification.
D. If a parent, legal custodian, or guardian prevents the local agency from interviewing a child, the local agency shall ask the county attorney to obtain a judicial order to produce the child for an interview.
E. For investigations only the local agency shall make a record of every interview according to subitems (1) and (2):
F. When a child is interviewed at the child's school, the local agency shall:
Subp. 4. Parent interviews.
The local agency shall interview parents and persons responsible for the child's care within the family unit. The agency must use a question-and-answer interviewing format with questioning as nondirective as possible to elicit spontaneous responses. These interviews must take place immediately if substantial child endangerment is alleged and within five calendar days for all other reports unless postponement is necessary to prevent risk to a child or interference with law enforcement's investigation. If, after reasonable effort, the local agency is unable to locate a parent, this requirement is waived. All interviews with witnesses and collateral sources must be audiotaped when conducting investigations whenever possible.
Subp. 4a. Interview of alleged offender.
In the initial stages of an assessment or investigation, the agency must conduct a face-to-face interview of the alleged offender. The interview with the alleged offender may be postponed if it jeopardizes an active law enforcement investigation. The agency must use a question-and-answer interviewing format with questioning as nondirective as possible to elicit spontaneous responses. The local agency must provide the alleged offender with an opportunity to make a statement. The alleged offender may submit supporting documentation relevant to the assessment or investigation. The interviews must be audiotaped when conducting an investigation whenever possible.
Subp. 5. Other interviews.
When necessary to make the determinations in subpart 6, the local agency shall interview other persons whom the agency believes may have knowledge of the alleged maltreatment. The agency must use a question-and-answer interviewing format with questioning as nondirective as possible to elicit spontaneous responses. All interviews with witnesses and collateral sources must be audiotaped whenever possible.
Subp. 6. Local agency determinations.
When the local agency has completed its investigation under subparts 1 to 5, the local agency shall make determinations.
A. The local agency shall make a determination that maltreatment has occurred if:
B. [Repealed, L 2005 c 159 art 1 s 15]
Subp. 6a. Early determination of maltreatment allegations.
If the collected information shows no basis for a full assessment or investigation, the local agency may make a determination of no maltreatment early in an assessment, close the case, and retain immunity.
Subp. 7. Determining the need for protective intervention.
The local agency shall determine the need for protective intervention according to items A to C.
A. If there is a determination that child protective services are needed, regardless of whether there is a determination that maltreatment occurred, the local agency shall provide protective intervention under subpart 8.
B. If there is a determination that maltreatment occurred and a determination that no child is in need of child protective services, the local agency shall offer any needed alternative services.
C. If there is no determination that maltreatment occurred and no determination that child protective services are needed, the local agency shall not provide protective services.
Subp. 8. Protective intervention procedure.
When the local agency provides protective intervention, the local agency shall:
A. evaluate the risks to all children in the home;
B. provide for the protection of the child under subitems (1) to (3), which are listed in order of preferred action:
C. if the family refuses to accept protective services, request the county attorney to obtain a judicial order authorizing the local agency to provide involuntary protective services; and
D. if the family accepts or a court authorizes services, formulate a written protective services plan and provide protective services under part 9560.0228.
Subp. 9. Removal procedures.
The local agency shall follow the procedures in items A to E when a child is removed from the home.
A. The local agency shall place the child pursuant to part 9560.0223.
B. The local agency shall determine whether a voluntary placement provides for the child's health, safety, and welfare.
C. If the child is not placed voluntarily and the child is in imminent danger, the local agency:
D. If a child is not placed voluntarily and the child is not in imminent danger, the local agency shall ask the county attorney to petition the juvenile court for placement of the child under parts 9560.0500 to 9560.0670.
E. When a child is placed on an emergency basis for alleged maltreatment, the local agency shall review the placement to determine the services necessary to allow the child to return home.
History
- Statutory Authority: MS s 14.388; 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412; L 1999 c 139 art 4 s 2; 25 SR 1772; L 2003 1Sp14 art 11 s 11; L 2005 c 159 art 1 s 15; 32 SR 565
Minn. R. 9560.0221 Criteria for Seeking Child's Removal from Home
Subpart 1. Agency evaluation before seeking removal.
Before seeking removal of a child from the child's home, the local agency must evaluate whether:
A. the child is an Indian child as defined in Minnesota Statutes, section 260.755, subdivision 8; and if so, the agency must follow the process in subpart 3;
B. the agency has made reasonable efforts except as specified in Minnesota Statutes, section 260.012, paragraph (a), to provide services that are:
C. in the case of child maltreatment, the alleged offender can be removed from the child's home;
D. a caregiver is willing and able to protect the child if the alleged offender cannot be removed from the child's home; or
E. the child and child's caregiver are informed of the services and accept the services the agency offers.
Subp. 2. Removal of non-Indian child from home.
A. If the local agency determines that a child is in imminent danger of maltreatment and that the actions in subpart 1 would not ensure the child's safety, then an emergency exists and the agency must seek removal of the child from the home according to part 9560.0220, subpart 9, or obtain an appropriate protective court order.
B. The local agency may seek legal authority to place the child in foster care in nonemergency circumstances when:
Subp. 3. Removal of Indian child.
A. The agency must seek emergency removal of any Indian child who is temporarily or permanently located off the reservation if necessary to prevent imminent physical damage or harm to the child. The agency must expeditiously initiate a child custody proceeding subject to the Indian Child Welfare Act, United States Code, title 25, chapter 21, subchapter I, section 1915, transfer the child to the jurisdiction of the appropriate tribe, or restore the child to the parent. The emergency placement must terminate immediately when it is no longer necessary to prevent imminent physical damage or harm to the child.
B. If the agency believes it will be involved with an Indian child for more than 30 days, it must notify the child's tribe of the potential for foster care placement within seven days of determining that the child might be placed out of the home.
C. If the Indian child resides on a reservation with jurisdiction over child welfare matters or is a ward of a tribal court, the agency may not seek nonemergency removal of the child even when the maltreatment occurs off the reservation. In nonemergency cases, the agency must refer the Indian child to tribal social services.
D. In cases involving an Indian child who is not a resident of or domiciled on a reservation, the agency may seek nonemergency removal of the child only if clear and convincing evidence can show that the child is likely to suffer serious emotional or physical damage in the care of the parent or Indian custodian.
E. An agency removing an Indian child must satisfy the court that active efforts have been made to provide remedial services and rehabilitative programs designed to prevent the breakup of the Indian family and that these efforts have proved unsuccessful. Active efforts include, but are not limited to, soliciting the advice of tribal representatives and, if the parents do not object, members of the child's extended family.
F. Removal of an Indian child requires testimony by a qualified expert witness as to the likelihood of harm from continued residence with the parent or Indian custodian.
G. A "qualified expert witness" means:
History
- Statutory Authority: MS s 14.388; 257.071; 257.072; 260C.212; 260C.215; 626.556
- History: 20 SR 2777; L 1999 c 139 art 4 s 2; 25 SR 1772; L 2001 c 178 art 1 s 44
Minn. R. 9560.0222 Investigation of Reports of Maltreatment in a Facility
Subpart 1. Responsibility for investigation.
The local agency shall screen reports of maltreatment to determine the need for investigation. If a report of maltreatment alleges maltreatment of a child in a facility and if the child is related by blood, marriage, or adoption to the license holder, facility staff, or volunteer of the facility, the local agency shall follow the basic requirements in part 9560.0216. The local agency must investigate a report of maltreatment in a foster care or family child care facility and in facilities licensed by the Department of Corrections when the report meets the criteria in items A to C. The commissioner has primary responsibility for investigating reports of maltreatment in facilities licensed by the commissioner, except for foster care and family day care, and must follow the procedures outlined in Minnesota Statutes, section 260E.28. The commissioner may request assistance from the local agency. When the local agency assists the commissioner, it must follow the procedures outlined in parts 9560.0216 to 9560.0234.
A report of maltreatment must be investigated when the conditions in items A to C apply:
A. the allegations in the report constitute maltreatment as defined in part 9560.0214, subpart 18;
B. the report contains sufficient identifying information to permit an investigation; and
C. the report contains information that has not previously been investigated by the local agency. The investigating agency must collect available information relevant to the investigation or assessment to ascertain whether maltreatment occurred and whether protective services are needed. Relevant information includes the information specified in Minnesota Statutes, section 260E.20, subdivision 3.
Subp. 1a. Report to licensing agency.
A report that does not meet the criteria for investigation in subpart 1, items A to C, must be reported by the local agency as a possible licensing violation to the responsible licensing agency listed in items A to E within 48 hours after the report is received, excluding weekends and holidays.
A. Reports involving family day care must be referred to the local agency and the commissioner must also be notified.
B. Reports involving a child foster care provider whose licensure is supervised by the local agency must be referred to the local agency and the commissioner must also be notified.
C. Reports involving a child foster care provider whose licensure is supervised by a private agency licensed under parts 9545.0755 to 9545.0845 must be referred to the private agency and the commissioner must also be notified.
D. Reports about facilities that the commissioner licenses directly without delegating any licensing function to the county or a private agency must be sent to the commissioner.
E. Reports concerning facilities licensed by the Department of Corrections or the Department of Health must be sent to the department that licenses the facility.
Subp. 2. Coordination with law enforcement.
The investigating agency shall:
A. ask a representative from a law enforcement agency to accompany the investigator to interview the child when a report of maltreatment:
B. coordinate its investigation with the law enforcement agency investigation to avoid duplication of fact finding efforts and multiple interviews; and
C. prepare an independent report of its investigation.
Subp. 3. Coordination with licensing agencies.
The local agency shall coordinate the investigation of maltreatment within a facility with the agencies responsible for licensing the facility listed in subpart 1a.
A. The local agency shall notify the responsible licensing agencies listed in subpart 1a within 48 hours, excluding weekends and holidays, of receiving a report of maltreatment. This notification must include:
B. The local agency shall provide the responsible licensing agencies listed in subpart 1a with ongoing information as the investigation proceeds.
Subp. 4. Notice to ombudsman for mental health and developmental disabilities.
The investigating agency shall provide the notice in subpart 3, item A, to the ombudsman for mental health and developmental disabilities when a report of maltreatment involves a child receiving residential treatment services for mental health, developmental disability, chemical dependency, or emotional disturbance.
Subp. 5. Notice to parents, guardians, or legal custodians.
The investigating agency shall provide the following notice when reports of maltreatment within a facility have been received.
A. The investigating agency shall provide the following information to the parents, guardians, or legal custodians, including agencies responsible for placement, of any child who is reported to be maltreated by a person within a facility who is responsible for the child's care:
B. The notice required in item A must be provided before the investigating agency interviews any child who is reported to be maltreated unless:
C. The investigating agency may provide the notice required in item A to the parents, guardians, or custodians of children who are in the care of the facility who are not the subjects of the report. In making the decision to provide this notice, the agency shall consider:
Subp. 6. Interviewing children.
When necessary to make the determination in subpart 10, the investigating agency in the course of the investigation shall interview any child alleged to be maltreated who is in the care of the facility and may interview any other child who is or has been in the care of the facility, or any child related by blood, marriage, or adoption to the alleged offender, or any child who resides or has resided with the alleged offender. Interviews shall be conducted and recorded according to part 9560.0220, subpart 3.
Subp. 7. Interviewing facility staff.
The investigating agency shall begin to interview the following facility staff within 24 hours after interviewing children: the alleged offender, in a face-to-face interview, but the interview may be postponed if it jeopardizes an active law enforcement investigation; other staff members who may have knowledge of the maltreatment; supervisors of the alleged offender; and the director of the facility. The agency shall use a question-and-answer interviewing format with questioning as nondirective as possible to elicit spontaneous responses. All interviews with witnesses and collateral sources must be audiotaped whenever possible.
Staff interviews may be postponed beyond 24 hours to prevent interference with an investigation by law enforcement authorities.
Subp. 8. Interviewing persons outside the facility.
The investigating agency shall interview the parents, guardians, or legal custodians of children who are in the care of the facility and children no longer in the care of the facility if there is reason to believe they may have knowledge of maltreatment. The agency shall use a question-and-answer interviewing format with questioning as nondirective as possible to elicit spontaneous responses. All interviews with witnesses and collateral sources must be audiotaped whenever possible.
Subp. 8a. Other interviews.
When necessary to make the determinations in subpart 10, the investigating agency shall interview other persons who the agency believes may have knowledge of the alleged maltreatment. The agency shall use a question-and-answer interviewing format with questioning as nondirective as possible to elicit spontaneous responses. All interviews with witnesses and collateral sources must be audiotaped whenever possible.
Subp. 9.
[Repealed, 17 SR 3412]
Subp. 10. Maltreatment determinations.
The investigating agency shall determine that maltreatment has occurred within the facility on the basis of the criteria in items A and B:
A. there is a preponderance of evidence that a child is a victim of maltreatment; and
B. the maltreatment is caused by the act or failure to act of a license holder, facility staff, or a volunteer. In determining whether the facility or individual is the responsible party for the maltreatment, the investigating agency shall consider the following mitigating factors:
Subp. 11. Protective action.
If there is a determination that maltreatment has occurred or that child protective services are needed, the investigating agency shall take the following action to provide for the safety of the children within the facility.
A. The investigating agency shall provide a written report to the parents, guardians, or legal custodians, including agencies responsible for placement, of every child who is in the care of the facility or was in the care of the facility from the time of the maltreatment until the investigation is completed or the alleged offender is no longer present in the facility, whichever comes first. The report must not disclose the names of the children who were maltreated, the reporter, the offender, or the persons interviewed during the investigation. The report must include:
B. The investigating agency shall inform parents, guardians, and legal custodians about alternative facilities.
C. When the investigation is conducted by a local agency, the local agency shall provide the applicable licensing agency or agencies listed in subpart 1a with an oral report immediately after the investigation is completed and a written report within one week after the investigation is completed.
D. For all cases in which the ombudsman received notice under subpart 4, the investigating agency must provide a written report to the ombudsman within one week after completing the investigation.
Subp. 12. No determination of maltreatment or a need for child protective services.
If there is no determination of either maltreatment or a need for child protective services, the investigating agency shall provide, within ten working days after the investigation is completed, the notice in subpart 11, item A, subitems (1) and (3) to (5), to:
A. parents, guardians, or legal custodians notified under subpart 5;
B. the applicable licensing agencies listed under subpart 1a if the investigation was conducted by a local agency;
C. the ombudsman notified under subpart 4;
D. the alleged offender; and
E. the facility director.
Subp. 12a. Early determination of maltreatment allegations.
The investigating agency may make a determination of no maltreatment early in an assessment or investigation, close the case, and retain immunity if the collected information shows no basis for a full assessment or investigation.
Subp. 13. Removal procedures.
Child placement by the local agency shall be made according to part 9560.0223.
History
- Statutory Authority: MS s 14.388; 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412; 25 SR 1772; L 2005 c 56 s 2
Minn. R. 9560.0223 Placement Considerations
Items A to E must be followed when a local agency temporarily removes a child from the home in accordance with part 9560.0220, subpart 9, or from a facility in accordance with part 9560.0222, subpart 13:
A. The child shall be placed in the least restrictive setting consistent with the child's health and welfare and in closest proximity to the child's family as possible.
B. If a child has been taken into immediate custody, placement may be with a child's relative or in a shelter care facility.
C. An Indian child shall be placed according to the Indian Child Welfare Act of 1978, United States Code, title 25, section 1915, and the Minnesota Indian Family Preservation Act, Minnesota Statutes, sections 260.751 to 260.781. If an extended family member as defined in United States Code, title 25, section 1903(2), is not available, temporary placement must be made in the following order of preference, absent good cause to the contrary:
D. The placement considerations of Minnesota Statutes, section 260C.193, subdivision 3, must be followed.
E. Placement of a child must not be delayed or denied based on the race, color, or national origin of the child or foster parent.
History
- Statutory Authority: MS s 14.388; 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 17 SR 3412; L 1999 c 139 art 4 s 2; 25 SR 1772; 29 SR 1367
Minn. R. 9560.0224 Reports Not Requiring Assessment or Investigation by Local Agency
When the local agency receives a report of maltreatment that does not involve an alleged offender from within the family unit or from within a facility, the local agency shall notify the law enforcement agency orally as soon as the report is received. Written notice must be sent within 24 hours.
The local agency shall make appropriate social services available to the child and family.
History
- Statutory Authority: MS s 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303
Minn. R. 9560.0225 Appeals of Maltreatment Determinations
Subpart 1. Notice of right to appeal.
Administrative reconsideration is not applicable in family assessments because no determination concerning maltreatment is made. For investigations, the agency must notify the designee of a child who is the subject of a report, and any persons or facilities determined to have maltreated a child, of their appeal and reconsideration rights under Minnesota Statutes, section 260E.33.
Subp. 2. Notice after reconsideration.
If, as a result of the reconsideration, the investigating agency changes the final determination of maltreatment, that agency must notify the parties specified in Minnesota Statutes, section 260E.33, subdivision 4.
History
- Statutory Authority: MS s 14.388; 626.556
- History: 25 SR 1772; 32 SR 565
Minn. R. 9560.0226 Information Provided Reporters Upon Completion of Assessment or Investigation
Subpart 1. Voluntary reporters.
Upon request, the agency that conducted the assessment or investigation of a report of maltreatment shall provide a voluntary reporter a concise summary after the assessment or investigation has been completed. A concise summary is limited to:
A. the agency's classification of the report under part 9560.0230; and
B. a statement whether child protective services are being provided.
Subp. 2. Mandated reporters.
The agency that conducted the assessment or investigation shall provide a mandated reporter a summary consisting of:
A. a concise summary under subpart 1;
B. the name of the child protection worker or investigator that conducted the assessment or investigation;
C. the nature of the maltreatment, if the agency determined maltreatment occurred; and
D. whether the case has been opened for child protection or other services, or if a referral has been made to a community organization.
Subp. 3. Refusal to disclose information.
The agency shall refuse to provide a concise summary to voluntary reporters and a summary to mandated reporters if the agency determines disclosure would be detrimental to the best interests of the child.
History
- Statutory Authority: MS s 14.388; 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412; 25 SR 1772
Minn. R. 9560.0228 Protective Services
Subpart 1. General requirement.
The local agency shall ensure that protective services are provided according to a written protective services plan meeting the criteria under subpart 2, item B, to every child and family who are residents of the county when:
A. a determination of infant medical neglect is made under part 9560.0218, subpart 7, item B; or
B. protective intervention is required or protective services are accepted or authorized under part 9560.0220, subpart 7.
Subp. 2. Written protective services plan.
The written protective services plan based on the risk assessment in part 9560.0216 must be prepared within 30 days after the assessment is completed. The written protective services plan must meet the criteria in items A to D:
A. A child protection worker shall work with the appropriate members of the family unit, and, if applicable, custodians, guardians ad litem, and, if a tribe has intervened, tribal representatives to formulate the protective services plan and shall provide the appropriate members of the family unit with a copy of the protective services plan signed by the appropriate members of the family unit and the child protection worker. If the appropriate members of the family unit do not sign the plan, the child protection worker shall document the reasons why the appropriate members of the family unit did not sign.
B. The written protective services plan must identify:
C. For children in out-of-home placement, the local agency may use a substitute care plan under Minnesota Statutes, section 260C.212, in lieu of a written protective services plan.
D. When a family unit has at least one child residing in the home who requires child protective services and at least one child in out-of-home placement, the local agency shall develop both a protective services plan that meets the criteria in items A and B and a substitute care plan under Minnesota Statutes, section 260C.212.
Subp. 3. Service delivery.
Protective services shall be provided directly or arranged by the local agency. The local agency shall retain case management responsibility including responsibility for planning, coordinating, authorizing, monitoring, and evaluating services.
Subp. 4. Monitoring services.
The local agency shall monitor the provision of services in accordance with items A to C to assure compliance with the written protective services plan.
A. When a child remains in the home while protective services are being provided, the child protection worker shall:
B. When a child remains in the home while protective services are being provided, the child protection worker's supervisor shall conduct a review at least semiannually. This review must consist of:
C. When a child is in out-of-home placement, the local agency shall monitor services in accordance with part 9560.0580.
Subp. 5. Quarterly reassessment.
The child protection worker and the appropriate members of the family unit shall meet at least quarterly to jointly assess the written protective services plan to:
A. assess the family unit's progress in achieving goals; and
B. modify goals, behaviors, tasks, and services that have been achieved or found to be inappropriate.
Subp. 6. Termination of protective services.
A risk assessment tool under part 9560.0220, subpart 6, item B, must be used when the local agency considers termination of protective services. Protective services to the appropriate members of the family unit must be terminated when the local agency determines:
A. the goals in the written protective services plan have been accomplished and the appropriate members of the family unit no longer need protective services; or
B. the family unit fails to achieve goals and there are insufficient legal grounds to proceed with court action that would authorize the local agency to provide involuntary protective services, unless the appropriate members of the family unit agree to voluntary protective services.
History
- Statutory Authority: MS s 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412; L 1999 c 139 art 4 s 2; 32 SR 565
Minn. R. 9560.0230 Official Records
Subpart 1. Report records.
The local agency shall maintain a record of every report of maltreatment under parts 9560.0218 to 9560.0222.
Subp. 2.
[Repealed, L 2005 c 159 art 1 s 15]
Subp. 3. Disclosure of report records.
The investigating agency may disclose report records to:
A. members of the case consultation committee of a multidisciplinary child protection team established under Minnesota Statutes, section 260E.02;
B. a family court services agency in accordance with Minnesota Statutes, section 260E.35; and
C. any other person or entity authorized by state or federal law to receive the reports.
Subp. 4. Nondisclosure of reporter's identity.
Neither the local agency nor the investigating agency, if different, shall disclose the identity of the person making the report of maltreatment while the assessment or investigation is being conducted. After the assessment or investigation is completed, neither agency shall disclose the identity of the person reporting the maltreatment without:
A. the reporter's written consent to disclosure; or
B. a written court finding that the report is false and that there is evidence the report was made in bad faith.
Subp. 5. Notice of determinations.
Within ten working days after the assessment or investigation is completed, the agency that conducted the assessment or investigation shall notify the parent or guardian of the child reported to be maltreated, the alleged offender, and, in facility investigations, the director of the facility in writing of the following:
A. the agency's determinations; and
B. the period of time report records will be maintained before being destroyed under subpart 6. The notice must include a certification that information collection procedures under Minnesota Statutes, section 260E.20, subdivision 3, were followed and a notice of the right of data subjects to obtain access to other private data collected, created, and maintained as a result of the assessment or investigation.
Subp. 6. Retention of report records.
The investigating agency's records relating to reports of maltreatment must be retained or destroyed according to items A to C.
A. If the investigating agency has made a determination that maltreatment has not occurred and that child protective services are not needed, the investigating agency must retain the records of the report for four years.
B. If the investigating agency has made a determination either that maltreatment has occurred or that child protective services are needed, the investigating agency shall maintain the records relating to the report for at least ten years after the date of the final entry in the case record.
C. The local agency shall notify a school that received a notice of intent to interview under part 9560.0220, subpart 3, to destroy all records relating to the report when records are destroyed under item A or B.
Subp. 7. Data collection by the department.
Within ten days after completing the assessment or investigation, the local agency shall send the department data on every report of maltreatment. Data must be submitted in a manner approved by the department.
History
- Statutory Authority: MS s 14.388; 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412; 25 SR 1772; L 2005 c 159 art 1 s 15
Minn. R. 9560.0232 Administrative Requirements
Subpart 1. Service availability.
The local agency shall ensure that child protective services are available on a 24 hour basis to respond to reports alleging imminent danger.
Subp. 2. Emergency facility.
The local agency shall ensure that a shelter care facility is available on a 24 hour basis for children needing emergency placement.
Subp. 3. Staffing.
The local agency shall have sufficient staff to perform its duties under parts 9560.0216 to 9560.0234 and shall assign individual responsibility for:
A. notifying law enforcement under part 9560.0216; and
B. emergency placement of children.
Subp. 4. Child protection team.
The county shall establish a multidisciplinary child protection team under Minnesota Statutes, section 260E.02, subdivision 1, and the local agency:
A. shall participate on the team;
B. may provide records collected and maintained under part 9560.0230 to the case consultation committee; and
C. may accept recommendations of the case consultation committee about protective services to be provided under part 9560.0228.
Subp. 5.
[Repealed, L 2024 c 115 art 12 s 35]
History
- Statutory Authority: MS s 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 17 SR 3412
Minn. R. 9560.0234 Training Requirements
Subpart 1. Agency training plan.
The local agency shall have an annual training plan for child protection workers. The plan must include:
A. the subject areas to be covered;
B. the methods of providing training, such as in service programs, workshops, or college courses; and
C. the number of hours of training to be provided.
Subp. 2.
[Repealed, 25 SR 1772]
Subp. 3. Individual training plan.
The local agency shall develop and approve an individual training plan for each child protection worker that meets the criteria in items A to C:
A. the training is relevant to providing child protective services. Relevant training topics include:
B. the plan is developed in consultation with the individual child protection worker and based on identified areas of knowledge and skills to be developed; and
C. the plan provides for at least 15 credit hours of training per year.
Subp. 4. Credit hours.
A credit hour of training is based on a clock hour of instruction. Up to one-half of required training hours may be earned by teaching a course approved by the department. One hour of teaching earns two credit hours.
Subp. 5. Training record.
The local agency shall maintain a record of training completed by each child protection worker, including:
A. the course titles;
B. the instructors' names;
C. the dates and times of the training;
D. the number of credit hours earned; and
E. local agency documentation of successful completion of the training.
History
- Statutory Authority: MS s 14.388; 256.01; 256E.05; 257.175; 393.07; 626.556
- History: 13 SR 303; 25 SR 1772
Minn. R. 9560.0250 [Repealed, 13 SR 303]
[Repealed, 13 SR 303]
Minn. R. 9560.0260 [Repealed, 13 SR 303]
[Repealed, 13 SR 303]
Minn. R. 9560.0270 [Repealed, 13 SR 303]
[Repealed, 13 SR 303]
Minn. R. 9560.0280 [Repealed, 13 SR 303]
[Repealed, 13 SR 303]
Minn. R. 9560.0290 [Repealed, 13 SR 303]
[Repealed, 13 SR 303]
Minn. R. 9560.0300 [Repealed, 13 SR 303]
[Repealed, 13 SR 303]
Minn. R. 9560.0350 Scope
Parts 9560.0350 to 9560.0370 govern the placement of children into or out of the state of Minnesota for the purpose of foster care.
History
- Statutory Authority: MS s 257.40; 257.175; 260.851
- History: L 1999 c 139 art 4 s 2
Minn. R. 9560.0360 Definitions
Subpart 1. Child.
"Child" means a person who is under the age of 18.
Subp. 2. Commissioner.
"Commissioner" means Minnesota commissioner of the Department of Human Services.
Subp. 3. Placing children in foster care or placement.
"Placing children in foster care or placement" means placing children in any of the following residential facilities: foster family home, work home, free home, group home, residential treatment center.
History
- Statutory Authority: MS s 257.40; 257.175
- History: L 1984 c 654 art 5 s 58; L 1999 c 139 art 4 s 2
Minn. R. 9560.0370 Placement Provisions
Subpart 1. Interstate compact.
Placement of children to and from states which are parties of the Interstate Compact on the Placement of Children shall be made in accordance with the current terms of the compact.
Subp. 2. Placements to and from noncompact states.
When a child enters or leaves the state of Minnesota for placement in foster care, the following policies are to be used when the move involves noncompact states:
A. The commissioner's consent must be obtained for children entering or leaving the state for the purpose of placement in foster care, except for placements made by certain relatives and guardians under conditions prescribed in statute.
B. Those seeking to place a child must demonstrate:
C. Those seeking to place a child shall furnish the commissioner such supporting or additional information, consents, or guarantees as the commissioner may deem necessary to protect the child.
Subp. 3. Agreements submitted to commissioner.
Prior to the commissioner's consent for a child to leave the state for the purpose of foster care, the following information and agreements must be furnished the commissioner:
A. identifying information on the child and parents;
B. the name, address, and relationship of the individual in the receiving state responsible for the child's care;
C. the authority of the agency or individual to make such placements; and
D. written authorization for the out-of-state placement by the court of jurisdiction, or written authorization from the child's parent or guardian.
History
- Statutory Authority: MS s 257.40; 257.175
- History: L 1999 c 139 art 4 s 2
Minn. R. 9560.0410 Scope
Parts 9560.0410 to 9560.0485 identify and govern the administration of local agency responsibilities for children under state guardianship in need of protection or services pursuant to Minnesota Statutes, sections 260B.101 et seq., and the delegation to local agencies of the authority to grant consents.
History
- Statutory Authority: MS s 256.01; 256.91; 256E.05; 257.175; 259.24; 260.111; 260.241; 260.242; 260.40; 260C.101; 260C.317; 260C.325; 260C.451; 393.07
- History: 15 SR 2533; L 1999 c 139 art 4 s 2
Minn. R. 9560.0420 Purpose
The purpose of state guardianship is to carry out the responsibility to act and care for children in need of protection or services committed to the guardianship of the commissioner.
History
- Statutory Authority: MS s 256.01; 256.91; 256E.05; 257.175; 259.24; 260.111; 260.241; 260.242; 260.40; 260C.101; 260C.317; 260C.325; 260C.451; 393.07
- History: L 1984 c 654 art 5 s 58; 15 SR 2533; L 1999 c 139 art 4 s 2
Minn. R. 9560.0430 Definitions
Subpart 1. Applicability.
The terms used in parts 9560.0410 to 9560.0485 have the meanings given them in this part.
Subp. 2. Commissioner.
"Commissioner" means the commissioner of human services or a designee.
Subp. 3. County of residence.
"County of residence" means the county in which the child is physically present:
A. in the home of a relative as defined in subpart 8;
B. in a residential program as defined in Minnesota Statutes, section 245A.02, subdivision 14; or
C. in an adoptive placement.
Subp. 4. County of financial responsibility.
"County of financial responsibility" means the county financially responsible under Minnesota Statutes, chapter 256G, for the cost of providing services to a child under state guardianship.
Subp. 5. Indian child.
"Indian child" means an unmarried person under age 18 who is either a member of or eligible for membership in an American Indian tribe.
Subp. 6. Local agency.
"Local agency" means the agency authorized by the county welfare or human service board to provide and ensure social services.
Subp. 7. Licensed child-placing agency.
"Licensed child-placing agency" means an agency defined under Minnesota Statutes, sections 245A.02, subdivision 12; 260.755, subdivision 17; and 259.21, subdivision 6, and authorized by the commissioner to place children for foster care or adoption.
Subp. 8. Relative.
"Relative" has the meaning given in Minnesota Statutes, section 260C.007, subdivision 27.
History
- Statutory Authority: MS s 256.01; 256.91; 256E.05; 257.175; 259.24; 260.111; 260.241; 260.242; 260.40; 260C.101; 260C.317; 260C.325; 260C.451; 393.07
- History: 15 SR 2533; L 1999 c 139 art 4 s 2; L 2001 c 178 art 1 s 44
Minn. R. 9560.0440 General Responsibilities
Subpart 1. Financial responsibility.
The local agency in the county of financial responsibility shall provide financial assistance and shall pay the cost of services provided to a child under state guardianship.
Subp. 2. Notice.
The local agency in the child's county of residence shall notify the commissioner and, for a child eligible for tribal membership, the appropriate tribe when a child is placed under state guardianship. The notice to the commissioner must be on the form prescribed by the commissioner and must be provided to the commissioner within 30 days after the child is placed under state guardianship. The notice to the appropriate tribe may be by letter.
Subp. 3. Social service plan.
The local agency in the child's county of residence must develop a social service plan within 90 days after a child becomes a ward. The plan must be developed according to items A to E.
A. The child's social service plan must be developed by the local agency and with the child if the child is seven years of age or older and capable of articulating his or her thoughts. The plan must be reviewed at least annually by the local agency. A child seven years of age or older at the time of the annual review and capable of articulating his or her thoughts shall participate in the review.
B. The plan must address the emotional, health, educational, vocational, and spiritual needs of the child, and preserve, where feasible, the racial and familial identity of the child. For an Indian child, the plan must include arrangement to apply for or obtain verification of tribal membership status under Minnesota Statutes, section 260.761, subdivision 1. For an Indian child or a child of minority race or minority ethnic heritage, the plan must also comply with the racial, ethnic, and religious placement preference requirements under Minnesota Statutes, sections 260C.212, subdivision 2; 259.29; 259.77; and 260C.193, subdivision 3. If a child has at least one sibling, the plan must provide for preserving the sibling relationship, where feasible.
C. The aim of the plan must be to establish a permanent family relationship for the child through the selection of a family committed to providing a home until the child reaches majority. The plan must include the goal of adoption for a child under age 14, using the procedures required in Minnesota Statutes, section 259.75. However, if there is established a permanent family relationship between the child and the child's relative as defined in part 9560.0430, subpart 8, adoption must be encouraged but is not required as a condition of permanent placement. For a child age 14 or older, the child shall be counseled regarding adoption and other available permanent placement options. If the child chooses not to be adopted, the local agency shall notify the commissioner by submitting a written report and a copy of the child's affidavit in the form prescribed by the commissioner.
D. Any plan which permits a child to live independently without local agency guidance does not relieve a local agency of its responsibility to be aware of the child's needs and provide for them if necessary.
E. The goals, plans, and objectives for children under the supervision of licensed child-placing agencies must be made only with the agreement of the local agency in the child's county of residence after notification to the county of financial responsibility, if different from the county of residence.
Subp. 3a. Review of social service plan.
Within two weeks after a child's move into a county, the county's local agency must review the social service plan developed by the local agency in the child's previous county of residence to determine the continued applicability of the plan.
The local agency in the child's new county of residence may approve or disapprove the plan. If the local agency disapproves the plan, it must notify the local agency in the child's previous county of residence and the county of financial responsibility, if different from the county of residence. If, after 45 days, the local agency and the local agency in the child's previous county of residence continue to disagree as to the plan, the local agency may change the plan after receiving written approval of the change from the commissioner.
Subp. 4. Change in child's county of residence.
Before a child moves to a new county, the local agency in the child's current county of residence shall notify the new county's local agency and, if applicable, the Indian child's tribe of the change in the child's residence. The notification must be in writing and must indicate that the new county's local agency shall assume responsibility for implementing the social service plan developed under subpart 3. If the child's new county of residence does not become the county of financial responsibility, the child's new county of residence shall provide reports requested by the local agency in the county of financial responsibility. Payment responsibilities for services provided to the child by the child's new county of residence are governed by Minnesota Statutes, chapter 256G.
Subp. 5. Appointment of guardian ad litem.
The local agency in the child's county of residence shall assure the appointment of a guardian ad litem to represent the child under state guardianship:
A. when the child has a legal claim against another party;
B. when the child has an interest in an existing legal action;
C. when an action has been instituted against the child by another; and
D. in all other instances when the best interest of the child requires legal counsel.
History
- Statutory Authority: MS s 256.01; 256.91; 256E.05; 257.175; 259.24; 260.111; 260.241; 260.242; 260.40; 260C.101; 260C.317; 260C.325; 260C.451; 393.07
- History: L 1984 c 654 art 5 s 58; 15 SR 2533; L 1994 c 631 s 31; L 1999 c 139 art 4 s 2; L 2003 1Sp14 art 11 s 11; L 2007 c 13 art 3 s 36
Minn. R. 9560.0450 Consents
Subpart 1. Delegated consents.
The following consents are delegated to local agencies:
A. autopsy;
B. baptism or other similar religious rites;
C. medical treatment, except for subpart 2, item H;
D. mental health services, including treatment with psychotropic medications;
E. application for marriage license;
F. admission to a regional treatment center or other inpatient mental health facility to the extent permitted under law;
G. giving the body or parts of the body to science after death;
H. out-of-state or out-of-country travel for more than 30 days, but less than 90 days, including application for passports and visas necessary for travel;
I. permanent placement agreement on a child over 14 years of age;
J. application for driver's permit or driver's license;
K. petition to transfer guardianship;
L. petition for change of name;
M. surgical treatment;
N. publicity about the child;
O. enlistment in the armed services, Peace Corps, or Job Corps; and
P. request for tuition waiver under Minnesota Statutes, section 136.11, subdivision 1, or as allowed by Number 3.3.2.5 of the State Board of Technical College's System Policy Manual, approved May 10, 1988. This manual is incorporated by reference and is subject to frequent change. It is available at the Minnesota State Law Library, Minnesota Judicial Center, 25 Rev. Dr. Martin Luther King Jr. Blvd., Saint Paul, Minnesota 55155.
Subp. 2. Nondelegated consents.
All consents not specifically delegated to local agencies may be issued only by the commissioner. The consents not specifically delegated include:
A. adoption;
B. taking or sending a child out of Minnesota for purposes of placing a child in foster care or adoption;
C. out-of-state or out-of-country travel for 90 days or more;
D. giving a part of the body for therapeutic purposes for another person while the child is living;
E. transfer from one regional treatment center to another regional treatment center;
F. sterilization;
G. separation of siblings; and
H. requests that the child not be resuscitated or intubated.
History
- Statutory Authority: MS s 256.01; 256.91; 256E.05; 257.175; 259.24; 260.111; 260.241; 260.242; 260C.101; 260C.317; 260C.325; 393.07
- History: L 1984 c 654 art 5 s 58; 15 SR 2533; L 1999 c 139 art 4 s 2
Minn. R. 9560.0460 Disposition of Social Welfare Fund
The local agency in the county of financial responsibility may accept gifts, contributions, pensions, benefits and inheritance on behalf of a child under state guardianship. The money received by the local agency may be applied to the maintenance and support of the child. The unspent portion of the money must be held in trust and invested through the social welfare fund under Minnesota Statutes, sections 256.88 to 256.91.
When a ward is legally adopted, is discharged from guardianship, or dies, the remaining funds in the social welfare fund must be paid as provided in Minnesota Statutes, section 256.91.
History
- Statutory Authority: MS s 256.01; 256.91; 256E.05; 257.175; 259.24; 260.111; 260.241; 260.242; 260C.101; 260C.317; 260C.325; 393.07
- History: 15 SR 2533; L 1999 c 139 art 4 s 2
Minn. R. 9560.0470 State Guardianship Assistance Up to Age 21
The local agency in the child's county of residence shall provide a child who has reached the age of 16 years with social services and access to financial assistance to help the child develop independent living skills. An individual who is under state guardianship at age 18 continues to be eligible for social services and access to financial assistance up to age 21 if the individual is incapable of self-sustaining employment or is in need of continuing education or training beyond high school.
For the purposes of this part, social services include counseling, training in independent living skills, and access to community resources.
Six months before a child under state guardianship reaches age 18, the local agency in the child's county of residence shall inform the child, in writing, of the child's right to request the continuation of social services and access to financial assistance beyond age 18.
History
- Statutory Authority: MS s 256.01; 256.91; 256E.05; 257.175; 259.24; 260.111; 260.241; 260.242; 260.40; 260C.101; 260C.317; 260C.325; 260C.451; 393.07
- History: 15 SR 2533; L 1999 c 139 art 4 s 2
Minn. R. 9560.0475 Administrative Reviews and Dispositional Hearings
The local agency in the child's county of residence shall conduct administrative reviews of the child's social service plan under Minnesota Statutes, section 260C.203, at least every six months while the child is under state guardianship, in foster care, or in an adoptive placement. A court of competent jurisdiction shall, upon its own motion or that of the child's guardian, conduct a dispositional hearing under Minnesota Statutes, section 260C.325, subdivision 4, paragraph (d), within 18 months after the child is placed in foster care and once every two years thereafter to determine the future status of the child. When the child is placed in an adoptive home, a dispositional hearing shall be sought if the child is removed from the adoptive home or is not legally adopted within two years of the adoptive placement. The local agency in the child's county of residence shall notify an Indian child's tribe of any administrative review or dispositional hearing.
History
- Statutory Authority: MS s 260.242; 260C.325; 393.07
- History: 15 SR 2533; L 1999 c 139 art 4 s 2; L 2012 c 216 art 6 s 13
Minn. R. 9560.0480 Guardianship Records
Subpart 1. Content.
The local agency shall maintain a record on each child for whom it is responsible. The record must contain:
A. copies of all court findings and orders affecting custody, termination of parental rights, and assignment of guardianship to the commissioner;
B. data on the background and health history of the child and the child's birth family;
C. data on the background of the child's adoptive family if a previous adoption has occurred;
D. copies of notices to an Indian child's tribe whenever the child is placed in a home of a relative, a residential program or an adoptive home, as well as when there is an administrative review or court disposition;
E. documentation of the child's eligibility for benefits and services under title IV-E of the Social Security Act and other provisions of state and federal law, unless the child is no longer a ward or is at least age 21; and
F. all other information required by Minnesota Statutes, section 257.01.
Subp. 2. Retention.
The record required under subpart 1 must be retained on a permanent basis using a record system that ensures privacy and lasting preservation.
Subp. 3. Use of information.
Unless state law requires a different classification, all information on a child must be maintained by the local agency in the child's county of residence as private data and disseminated according to the Minnesota Government Data Practices Act, Minnesota Statutes, chapter 13. Unless state law requires a different classification, all information on a child who is subsequently adopted must be maintained as confidential data under Minnesota Statutes, section 259.79, subdivision 1.
History
- Statutory Authority: MS s 260.242; 260C.325; 393.07
- History: 15 SR 2533; L 1994 C 631 s 31; L 1999 c 139 art 4 s 2
Minn. R. 9560.0485 Postguardianship Services
Subpart 1. Postguardianship assistance.
Upon a written request, the local agency or, when appropriate, the former supervising agency, shall provide postguardianship services to former wards of the commissioner. Postguardianship services include:
A. dissemination of information from the agency record on a former ward's background, health and placement history;
B. search assistance in locating and establishing contact with a former ward's relatives; and
C. counseling on issues related to guardianship or referral to appropriate counseling services.
Subp. 2. Documentation of postguardianship services.
The local agency shall document in the agency's guardianship record the postguardianship services provided.
Subp. 3. Reimbursement.
The local agency may require the former ward to provide a reasonable expense reimbursement based on a former ward's ability to pay for providing postguardianship services.
History
- Statutory Authority: MS s 260.242; 260C.325; 393.07
- History: 15 SR 2533; L 1999 c 139 art 4 s 2
Minn. R. 9560.0500 Scope
Parts 9560.0500 to 9560.0670 govern the administration and provision of foster care to children and their families by the local agency that has placement and supervisory responsibilities.
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.072; 257.175; 260.40; 260C.212; 260C.215; 260C.451; 393.07
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0510 Purpose of Foster Care Services
The purpose of foster care is to provide substitute family or group care for a child while an intensive effort is made to correct or improve the conditions causing placement and to reunite the family or, if the child cannot be returned home, to provide some other permanent plan.
Foster care may be provided only after services to prevent the need for placement of a child in foster care have been considered, provided, or refused by the child's family.
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.072; 257.175; 260.40; 260C.212; 260C.215; 260C.451; 393.07
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0520 [Repealed, 20 SR 2778]
[Repealed, 20 SR 2778]
Minn. R. 9560.0521 Definitions
Subpart 1. Scope.
The terms used in parts 9560.0500 to 9560.0670 have the meanings given them in this part.
Subp. 2. Administrative review.
"Administrative review" means a review open to participation of the parents or guardian and conducted by a panel of appropriate persons, at least one of whom is not responsible for the case management of or the delivery of services to the child, parents, or guardian.
Subp. 2a. Agency.
"Agency" has the meaning given in Minnesota Statutes, section 260C.007.
Subp. 3. Child.
"Child" means a person under the age of 18.
Subp. 4. Commissioner.
"Commissioner" means the commissioner of human services or the commissioner's designated representative.
Subp. 5. Custodian.
"Custodian" means a person who is under a legal obligation to provide care and support for a child or who is in fact providing care and support for a child. For an Indian child, custodian means any Indian person who has legal custody of an Indian child under tribal law or custom or under state law or to whom temporary physical care, custody, and control have been transferred by the parent of the child, as provided in Minnesota Statutes, section 260.755, subdivision 10.
Subp. 6. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 7. Difficulty of care payment.
"Difficulty of care payment" means a supplemental maintenance payment determined by the local agency and based upon an assessment of the child's special needs due to existing physical, developmental, or emotional disabilities. A difficulty of care payment does not include payment for services rendered by a licensed foster parent.
Subp. 8. Dispositional hearing.
"Dispositional hearing" means a hearing held by a family or juvenile court, a tribal court, or another court of competent jurisdiction, or by an administrative body appointed or approved by the court, to determine the future status of the child, including whether the child should be placed for adoption or kept in foster care temporarily or on a long-term basis.
Subp. 9. Foster care.
"Foster care" means the 24-hour-a-day care of a child following placement by the commissioner or a licensed child-placing agency with legal placement responsibility pursuant to a court order or voluntary placement agreement, in any facility that regularly provides one or more children, when unaccompanied by a parent or guardian, with a substitute for the care, food, lodging, training, education, supervision, or treatment they need which for any reason cannot be furnished by a parent or guardian in the child's home.
Subp. 10. Foster care maintenance payments.
"Foster care maintenance payments" means payments to cover the cost of a child's food, clothing, shelter, daily supervision, school supplies, and personal incidentals, and reasonable travel to the child's home for visitation. In the case of institutional care, the term includes the reasonable costs of administration and operation of the institution.
Subp. 11. Foster care provider.
"Foster care provider" means a person or entity licensed to provide foster care.
Subp. 12. Foster family home.
"Foster family home" means a family licensed under parts 9545.0010 to 9545.0260 to provide foster care in their home for children.
Subp. 13. Guardian or legal guardian.
"Guardian" or "legal guardian" means a person appointed by a parent's will or by the court to have the powers and responsibilities of a parent, except that the guardian is not legally obligated to provide support for the ward out of the guardian's own funds.
Subp. 14. Indian child.
"Indian child" means an unmarried person under the age of 18 who is either a member of or eligible for membership in an Indian tribe.
Subp. 15. Legal custody.
"Legal custody" means the right to the care, custody, and control of a child as defined in Minnesota Statutes, section 260B.007, subdivision 8, or 260C.007, subdivision 22.
Subp. 16. Local agency.
"Local agency" means the social services agency authorized by the county board to provide social services and financial assistance under Minnesota Statutes, section 393.07.
Subp. 17. Parent.
"Parent" means a child's parent by birth or adoption. For an Indian child, parent includes any Indian person who has adopted a child by tribal law or custom, as provided in Minnesota Statutes, section 260.755, subdivision 14.
Subp. 18. Placement plan.
"Placement plan" means the written plan as specified in part 9560.0603 for a child in placement.
Subp. 19. Relative.
"Relative" means an individual who is related to the child and also includes members of the child's extended family and important friends as noted in Minnesota Statutes, section 260C.193, subdivision 3.
Subp. 20. Residential facility.
"Residential facility" means any group home, family foster home, or other publicly supported out-of-home residential facility, including any out-of-home residential facility licensed by the state, county, or other political subdivision, or any agency thereof, to provide foster care.
Subp. 21. Voluntary placement.
"Voluntary placement" means an out-of-home placement of a child by or with participation of the local agency, after the child's parent or guardian has requested the assistance of the agency and signed a voluntary placement agreement.
Subp. 22. Voluntary placement agreement.
"Voluntary placement agreement" means a written agreement between the local agency and the parent or guardian of a child, which specifies the legal status of the child and the rights and obligations of the parent or guardian, the child, and the local agency.
History
- Statutory Authority: MS s 14.388; 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2; L 2001 c 178 art 1 s 44; 29 SR 1367; L 2005 c 56 s 2
Minn. R. 9560.0523 Authority for Child's Placement by Local Agency
A local agency obtains authority to place a child in foster care:
A. through a voluntary placement agreement; or
B. by a court order granting legal custody.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0525 Local Agency Given Legal Custody by Court
When a court has given legal custody of a child to a local agency, the local agency must:
A. place the child according to the court order;
B. before expiration of the court order, send written reports to the court giving information, evaluations, and recommendations to help the court make decisions about the child and the child's family;
C. notify the court and the child's parent or guardian if the child is placed out of the jurisdiction of the court;
D. inform the foster care providers of court hearings that pertain to any foster child in their care by sending advance written notice by mail to the foster care providers of the date, time, location, and purpose of any court hearing. The notice shall contain a statement that receipt of the notice does not confer standing on the foster care provider to participate at the hearing;
E. request the court's permission for any special treatment and care if the child's parent or guardian fails to provide it;
F. obtain the consent of the court before terminating foster care and returning the child to the family; and
G. obtain the written consent of the child's parent or guardian and the court if a child is to be placed in foster care outside the state. If the child's parent or guardian refuses consent, the court's written consent is sufficient authorization for placement outside the state.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0527 Local Agency Placing Child Under Voluntary Agreement
When a local agency places a child in foster care under a voluntary placement agreement, the local agency must:
A. before placement, obtain the written consent of both parents, or the legal guardian, unless placement is in the child's best interest and the other parent's signature is unobtainable;
B. if only one parent signs the agreement, the agency must document why the other parent did not sign the agreement;
C. in addition, in the case of an Indian child, advise the parent or custodian that the child is to be returned upon demand in a written and dated statement complying with the requirements of Minnesota Statutes, section 260.755, subdivision 5, and notify the Indian child's tribe within seven working days of placement;
D. obtain the agreement of the non-Indian child's parent or guardian to notify the local agency in a written and dated statement if the parent or guardian wishes the child returned from placement before the date specified in the voluntary placement agreement; and
E. return the child to the child's parent or guardian as soon as possible and no later than 24 hours after receiving a written and dated demand for return of the child unless a longer response time is specified in the demand for any child, or in the voluntary placement agreement for a non-Indian child; for Indian children, the demand must be a written and dated statement complying with the requirements of Minnesota Statutes, section 260.755, subdivision 5.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0529 Placement in Licensed Facility
A local agency authorized to place a child in foster care must place the child in a licensed residential facility, in the home of a relative who is undergoing or who will later undergo evaluation for an emergency license, under Minnesota Statutes, section 245A.03, subdivision 2a, or in some other facility as permitted by the licensing statute, Minnesota Statutes, chapter 245A.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0530 [Repealed, 20 SR 2778]
[Repealed, 20 SR 2778]
Minn. R. 9560.0532 Removal of Children
An agency seeking to remove a child from the child's home must do so pursuant to procedures specified in parts 9560.0210 to 9560.0485 and Minnesota Statutes, sections 260B.007 or 260C.007, 260B.175 or 260C.175, and 260B.193 or 260C.193.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0535 Local Agency Search for Relatives
Subpart 1. Search for relatives required.
The local agency must search for relatives with whom to place a child, unless the child's parent specifically objects.
Subp. 2. Parental objection to relative search.
If a child's parent specifically objects to the search for relatives, the local agency must, without contacting relatives, evaluate and address the parent's concerns by considering:
A. the child's and the parent's or guardian's preferences about relatives and the reasons for those preferences;
B. if there are specific relatives the parent does not want contacted, whether there are other relatives who may be contacted;
C. whether any relatives have offered to care for the child;
D. whether placement with relatives would interfere with the parent's ability to follow a placement plan; and
E. in the case of an Indian child, the tribe's position on contacting the relatives. If a parent still objects to the relative search, the agency must notify the juvenile court of the parent's reasons for objecting. The agency must send each parent a copy of the notification to the court. The local agency may not contact the child's relatives unless ordered to do so by the court. In the case of an Indian child, the agency must seek a relative placement unless the court has determined that there is good cause under the Indian Child Welfare Act, United States Code, title 25, chapter 21, subchapter I, section 1915, not to do so. The preference of the Indian child, parent, or custodian must be considered in accordance with the Indian Child Welfare Act.
Subp. 3. Initiation of search for relatives.
For six months following the child's first placement, the agency must search for the child's relatives, even if the first placement is with a relative. The agency is permitted to continue the search thereafter only if it determines it is in the best interests of the child or if the court orders it to do so. The agency must thoroughly document the search efforts. If a subsequent placement becomes necessary and other relatives might be available as foster care providers, the local agency must renew the search for those relatives. Pursuant to Minnesota Statutes, section 260C.202, the court will review the agency's efforts to search for relatives and may order the agency to continue recruitment of relatives if the agency has not performed the search properly.
Subp. 4. Special efforts for relative search.
As required by Minnesota Statutes, section 260C.215, subdivision 1, a local agency must make special efforts to recruit a relative custodian or foster care provider. To make special efforts, the local agency must:
A. question the child, the child's parents or guardians, and the child's guardian ad litem, if any, about the child's relatives and preferences about the relatives;
B. in the case of an Indian child, request the child's tribe to provide the names of the child's extended family in accordance with the Indian Child Welfare Act, United States Code, title 25, chapter 21, subchapter I, section 1915. The local agency must defer to tribal judgment as to suitability of a relative's home when the tribe has intervened pursuant to the Indian Child Welfare Act;
C. contact relatives and divulge only that information necessary for them to consider possible placement, and request names of other relatives if necessary; and
D. with the written consent of the parent or guardian for release of information about the child, or by order of the court, consult with:
Subp. 5. Other sources of information.
With the written consent of the parent or guardian for release of information about the child, the agency may contact the Office of the Ombudsperson for Families, the state ethnic council related to the child's ethnicity, and other potential sources of information about the child's relatives.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2; L 2012 c 216 art 6 s 13
Minn. R. 9560.0540 [Repealed, 20 SR 2778]
[Repealed, 20 SR 2778]
Minn. R. 9560.0542 Consideration of the Child's Heritage
For an Indian child, the Indian Child Welfare Act controls the placement. In all other cases, the agency must follow the requirements in Minnesota Statutes, section 260C.221.
The agency may consider a foster care provider's ability to:
A. form a relationship with the child;
B. help the child integrate with the family;
C. accept the child's background and help the child cope with the child's past;
D. accept the behavior and personality of the child;
E. validate the child's cultural and religious background;
F. meet the child's educational, developmental, or psychological needs; and
G. meet any other needs of the child.
History
- Statutory Authority: MS s 14.388; 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2; 29 SR 1367; L 2012 c 216 art 6 s 13
Minn. R. 9560.0545 Documentation of Placement Efforts
Subpart 1. General requirements.
The agency must document in the child's case record:
A. the date the agency began its search for relatives;
B. the effort made to place the child with a relative and the results of the effort;
C. the effort to place the child in the least restrictive or most family-like setting, as required under title IV-E of the Social Security Act, United States Code, title 42, sections 470 to 476;
D. all the factors used in making the placement decision, including those listed in Minnesota Statutes, section 260C.212, subdivision 2; an Indian child's heritage must always be considered; and
E. in the case of an Indian child, the identity of the child's tribe and the actions taken to conduct a diligent search pursuant to the Indian Child Welfare Act, United States Code, title 25, chapter 21, subchapter I, section 1915.
Subp. 2. Requirements for court-ordered placement.
For court-ordered placements, the agency must place in the child's record copies of the court's findings, decisions, disposition of the case, and any other information that may aid the agency in providing services to the child.
History
- Statutory Authority: MS s 14.388; 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2; 29 SR 1367
Minn. R. 9560.0550 [Repealed, 20 SR 2778]
[Repealed, 20 SR 2778]
Minn. R. 9560.0552 Decisions About Child in Foster Care
Subpart 1. Written agreement.
The placement plan or the voluntary placement agreement must specify the decisions that the local agency will make and the decisions that require consent of the court, parent, or guardian.
Subp. 2. Request to court for authorization.
If the child's parent or guardian refuses to consent to decisions essential to the child's well-being, the local agency must seek a court order authorizing the local agency to act for the child. If there is a question about whether a decision requires parental or judicial consent, the agency must consult the court.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0560 Relationship to Schools and Other Agencies
Subpart 1.
[Repealed, 20 SR 2778]
Subp. 2. Contact with the child's schools.
The local agency must notify the present school of a child in foster care of any change in the child's address and custodian and the date on which the change occurred or will occur. The local agency must notify the present school and the school the child may attend if there is to be a change in the child's enrollment.
Subp. 3. Contact with the local agency of another county.
A local agency that wants to place a child in another county must request the approval of that county's local agency before making the placement. If the local agency receiving the request agrees to the placement, both local agencies must agree in writing about the responsibilities for services to be delivered to the child, progress reports, procedures for handling foster care payments, and other matters they deem important.
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.072; 257.175; 260.40; 260C.212; 260C.215; 260C.451; 393.07
- History: 17 SR 1279; 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0570 [Repealed, 20 SR 2778]
[Repealed, 20 SR 2778]
Minn. R. 9560.0580 Service Requirements
A local agency that places a child in foster care must:
A. provide at least one preplacement visit for the child unless the child is placed because of an emergency or is under six months old;
B. provide social services to the child as necessary to meet the child's needs;
C. provide social services to the child's family as necessary to:
D. assist the foster care providers in meeting the needs of the child; and
E. provide follow-up services to the family and child if the child returns home.
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.072; 257.175; 260.40; 260C.212; 260C.215; 260C.451; 393.07
- History: 17 SR 1279; 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0590 Waiver
The local agency may disregard those requirements listed under part 9560.0580 that are not applicable for children under state guardianship or for placements of children in emergency facilities. The agency may also disregard those requirements under part 9560.0580 which may be contrary to the child's best interests but must document the rationale behind such waivers.
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.072; 257.175; 260.40; 260C.212; 260C.215; 260C.451; 393.07
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0600 Provision for Meeting Health Needs
The local agency must meet the health and dental needs of every child by:
A. assuring that each child has had a health examination in the 12 months before initial placement or has an examination within 30 days after placement;
B. assuring that a child's ongoing health and dental needs are met and that the child has at least one health examination per year while in placement;
C. assuring that a Child and Teen Checkup is offered or provided pursuant to Minnesota Statutes, section 256B.0625, subdivision 58, to a child eligible for the medical assistance program;
D. giving the foster care provider information about the child's immunizations and other pertinent health data with instructions for the record to be kept up to date; and
E. giving the foster care provider a written authorization for obtaining routine health care for the child with clear instructions as to which health care provider is to treat the child and who is responsible for payment.
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.072; 257.175; 260.40; 260C.212; 260C.215; 260C.451; 393.07
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0603 Placement Plan
Subpart 1. Placement plan required.
A local agency must prepare a written placement plan for the child within 30 days of placement.
Subp. 2. Preparation of plan.
Placement plans must comply with Minnesota Statutes, section 260C.212, subdivision 1. Plans for court-ordered placements must also comply with Minnesota Statutes, section 260C.201, subdivision 6.
Subp. 3. Signing of plan.
The plan must be signed by the agency, the parents, the foster care provider, and, if able to understand the meaning of the agreement, the child.
Subp. 4. Components of placement plan; general.
A child's placement plan must set forth:
A. the reasons for placement of the child, including a description of the problems or conditions in the home that caused placement of the child, and services provided to prevent placement;
B. placement options that were considered, the reasons the specific foster care provider was chosen for the child, with documentation of the search for the child's relatives. If the child was placed in another county or state, the plan must address why the child was not placed in the child's local county;
C. the specific actions to be taken by the child, the child's parent or guardian, or foster care provider to correct the problems or conditions identified in item A and the period in which the actions are to be taken;
D. the financial responsibilities and obligations, if any, of the parent or guardian for the support of the child in placement;
E. the need of the child and the child's family for care, treatment, or rehabilitation;
F. the services requested or needed by the child, the child's parent or guardian, and foster care provider, the services to be provided and who will provide them, or the reasons for denying the services;
G. the visitation rights and obligations of the parents, guardians, and other relatives if the visitation is consistent with the best interest of the child;
H. the specific efforts the local agency will make to reunite the family;
I. the decisions about the child that the local agency will make and the decisions requiring consent of the parents or guardian;
J. the authority and responsibility of the foster care provider to arrange for the education of the child and to meet with teachers regarding the child's progress;
K. the notice required under subpart 7; and
L. the date on which the child is expected to return home.
Subp. 5. Information to foster care provider.
The local agency must fully inform the foster care provider of the provisions in the plan.
Subp. 6. Assistance from social services, legal counsel, or guardian ad litem.
The local agency must advise the child, the parent or guardian, and any grandparent with the right to participate under Minnesota Statutes, section 260B.163, subdivision 2, or 260C.163, subdivision 2, that they may consult any person or agency in preparation of the placement plan; that the parent and child each has the right to legal counsel in the preparation of the placement plan; and that the child has the right to a guardian ad litem as set forth in Minnesota Statutes, section 260B.163, subdivision 6, or 260C.163, subdivision 5.
Subp. 7. Notice to parents.
The local agency must inform the child's parent or guardian:
A. about the conditions that must be corrected to assure the child's return home;
B. that the inability or unwillingness of the parent, guardian, or child to correct the conditions leading to the child's placement may result in a petition to the court to terminate parental or custodial rights;
C. the right of the parents or guardians to receive notice if the local agency petitions the court for a termination of parental rights in accordance with Minnesota Statutes, sections 260C.301 to 260C.317. In this event, the local agency must document in the child's case record that it gave the required notice to the child and the child's parents or guardians.
Subp. 8. Notice to child.
The local agency must explain the placement plan and any subsequent changes in the plan to the child in a manner appropriate to the child's age.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0606 Agency Review
Subpart 1. Change in placement.
The local agency must not change a child's placement unless it determines that another placement is in the best interest of the child. For Indian children, best interests must be determined in accordance with placement preferences in the Indian Child Welfare Act. If the local agency changes the placement, it must notify the child's parent or guardian and document the reasons for the change. If placement with a specific foster care provider was ordered by the court, the local agency must obtain the court's permission before changing that placement, except in emergencies. In emergency changes of court-ordered placement, the agency must, as soon as possible, notify the court of the change and bring the matter before the court for its approval of the change.
Subp. 2. Administrative review.
All cases must be reviewed by an administrative panel at least once every six months. The review must be open to the parent or guardian, the child, and the foster care provider. The review must determine:
A. whether the placement remains necessary and appropriate;
B. the extent of compliance with the placement plan;
C. the extent of progress which has been made toward mitigating the causes for placement in foster care; and
D. the date by which the child may be returned to the home or a permanent placement may be made. As an alternative, the local agency may bring a petition for review of a voluntary placement pursuant to Minnesota Statutes, section 260B.141 or 260C.141. A dispositional hearing may substitute for the administrative review as long as administrative review requirements are met, but an administrative review cannot substitute for a dispositional hearing.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0609 [Repealed, L 2008 c 361 art 6 s 59]
[Repealed, L 2008 c 361 art 6 s 59]
Minn. R. 9560.0610 [Repealed, 20 SR 2778]
[Repealed, 20 SR 2778]
Minn. R. 9560.0613 Court Review of Court-Ordered Placements
Subpart 1. Request for court review of court-ordered placement.
For a child in court-ordered placement, the local agency must request the court for review six months after the initial placement. The agency must ensure that further reviews take place within each six-month period thereafter during the continuation of placement to determine whether continued out-of-home placement is necessary or whether the child should be returned home.
Subp. 2. Filing for permanent placement determination by court.
The local agency must request the county attorney to file pleadings to establish the basis for a permanent placement determination in a manner that allows for court review no later than 12 months after a child is placed in a residential facility by court order. Alternatively, the agency may request filing of pleadings recommending a delay in the permanent placement determination because of a circumstance specified in Minnesota Statutes, section 260C.201, subdivision 11, paragraph (a). Pleadings to establish a basis for permanent placement determination must contain the following information:
A. the local agency's recommendations about the child's permanent placement and the reasons for those recommendations;
B. the local agency's efforts to reunify the family and prevent placement or, in the case of an Indian child, active efforts to reunite the child with the child's parent or custodian;
C. whether there is a substantial probability of the child being able to return home in the next six months;
D. a recommendation for a permanent plan; and
E. a recommendation whether to delay the permanent placement determination for six months because of a circumstance specified in Minnesota Statutes, section 260C.201, subdivision 11, paragraph (a). A permanent placement determination is not required if a child is returned home or if a termination of parental rights petition is filed before the permanency planning determination.
Subp. 3. Dispositional hearing required; child in long-term foster care.
When a child is placed in long-term foster care through a dispositional hearing and the order specifically states the name of the foster parent or parents, no further dispositional hearings are required unless the placement is terminated. Administrative reviews pursuant to Minnesota Statutes, section 260C.203, must continue while the child remains in the specific placement named in the court order.
Subp. 4. Dispositional hearing required; child under guardianship.
Except as set forth in subpart 5, dispositional hearings for a child under the guardianship of the commissioner or a licensed child-placing agency must occur every two years following the establishment of the guardianship. The dispositional hearing shall meet the requirements of Minnesota Statutes, section 260C.325, subdivision 4, paragraph (d).
Subp. 5. Dispositional hearing not required.
A dispositional hearing is not required for a child under the guardianship of the commissioner or a licensed child-placing agency and in court-ordered long-term foster care or in an adoptive placement during the continuation of that specific long-term foster care or adoptive placement. The court order establishing long-term foster care must state the name of the long-term foster parent or parents.
Subp. 6. Administrative review required.
Administrative review pursuant to United States Code, title 42, section 675(5)(B), and Minnesota Statutes, section 260C.203, must continue in the case of a child placed in court-ordered long-term foster care or a child under the guardianship of the commissioner or licensed child-placing agency. Additionally, administrative review must continue for a child in an adoptive placement until the court grants a decree of adoption. Court review may substitute for an administrative review as long as the administrative review requirements are met.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2; L 2012 c 216 art 6 s 13
Minn. R. 9560.0615 Criteria for Return of Child to Home
Subpart 1. Return or release of non-Indian child.
A. For a child removed from the home of a parent or guardian and placed in foster care pursuant to court order, the local agency must seek a court order to end its custody and return the child to the parent or guardian under the following circumstances:
B. For a child in foster care pursuant to a voluntary placement agreement, the local agency must return the child to the parent or guardian as soon as possible and no later than 24 hours after receipt of a written and dated request from the parent or guardian unless, because of child protection concerns, the local agency secures legal authority to continue placement outside the home of the parent or guardian.
C. A local agency may seek a court order to end its custody of a child so that the child can be released into the care of a relative if the child could be safely maintained in the relative's home without formal legal authority and the relative is willing to care for the child without formal legal authority. Before releasing the child into the relative's care, the local agency must give the relative information orally and in writing about the rights and responsibilities of a relative and child in various formal and informal relationships.
Subp. 2. Return of Indian child.
A. An Indian child in foster care who was removed because of an emergency must be returned to the parent or custodian when the placement is no longer necessary to prevent imminent physical damage or harm.
B. An Indian child who was removed because of a nonemergency circumstance must be returned to the parent or custodian when the agency determines that restoring custody to the parent or custodian is not likely to result in serious emotional or physical harm to the child.
C. An Indian child in voluntary placement must be returned to the parent or custodian as soon as possible and no later than 24 hours after the agency receives a written and dated statement complying with the requirements of Minnesota Statutes, section 260.755, subdivision 5.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0620 Child's or Foster Care Provider's Absence from Residential Facility
The local agency's permission must be obtained any time the foster care provider or child is to be away from the residential facility for more than three nights or, if the child leaves the state, for any period of time. The local agency may give specifically defined blanket permission for departures from the state if a provider or child regularly leaves the state for an identified routine purpose.
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.072; 257.175; 260.40; 260C.212; 260C.215; 260C.451; 393.07
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0630 [Repealed, 20 SR 2778]
[Repealed, 20 SR 2778]
Minn. R. 9560.0640 Financial Arrangements and Funding Considerations
The local agency and the parent(s) shall evaluate the various resources available to meet the costs of care.
Parent(s) shall pay for the cost of care in a manner consistent with their ability to do so and with any applicable state laws or rules.
If the local agency establishes that the parent(s) are able to meet some or all of the costs of care, but are unwilling to do so, the following courses of action are indicated:
A. For a child under legal custody, the local agency shall make a written report to the court for determination by the judge of the parents' responsibility to reimburse the agency.
B. For a child placed by voluntary agreement, the local agency shall file a dependency or neglect petition with the court and ask the court to establish the parents' responsibility to reimburse the agency. The local agency shall make the payments directly to foster parents and other providers of care.
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.175; 260.40; 260C.212; 260C.451; 393.07
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0650 Maintenance Standards
Subpart 1.
[Repealed, L 2013 c 108 art 17 s 24]
Subp. 2.
[Repealed, 13 SR 1448]
Subp. 3.
[Repealed, L 2013 c 108 art 17 s 24]
Subp. 4. Fee conditions.
The local agency may pay a fee for services to foster parents based on the foster parents' skills, experience, or training. This fee is not a maintenance expense.
Subp. 5. Local fund.
The local agency may, through action by the county welfare board, human service board, or board of county commissioners, establish a local fund of county money through which the agency may reimburse foster parents for the cost of repairing damage done to the foster home and contents by the foster child, and the additional car insurance premium cost of a foster child who possesses a permit or license to drive a car.
Subp. 6.
[Repealed, L 2013 c 108 art 17 s 24]
History
- Statutory Authority: MS s 256.01; 256.82; 256E.05; 257.071; 257.175; 260.40; 260C.212; 260C.451; 393.07
- History: 8 SR 1537; 13 SR 1448; 20 SR 2778; L 1999 c 139 art 4 s 2; L 2013 c 108 art 17 s 24
Minn. R. 9560.0651 [Repealed, L 2013 c 108 art 17 s 24]
[Repealed, L 2013 c 108 art 17 s 24]
Minn. R. 9560.0652 Definitions
Subpart 1. Scope.
The terms used in parts 9560.0653 to 9560.0656 have the meanings given them in this part.
Subp. 2. Activities of daily living.
"Activities of daily living" means activities of basic self-care, including eating, dressing, grooming, hygiene, and toileting.
Subp. 3. Developmental disability.
"Developmental disability" means the condition of a person with developmental disability as defined in part 9525.0016, subpart 2.
Subp. 4. Mental illness.
"Mental illness" has the meaning given in Minnesota Statutes, section 245.462, subdivision 20.
History
- Statutory Authority: MS s 256.82; 256B.092
- History: 13 SR 1448; 18 SR 2244; L 2005 c 56 s 2
Minn. R. 9560.0653 Difficulty of Care Payments
The local agency shall make payments in addition to the basic maintenance standards of part 9560.0650, subpart 1, for children with mental, physical, or emotional disabilities who require additional supervision or assistance in behavior management, activities of daily living, management of medical problems, or interaction with the birth parents and the community. The local agency shall assess each child under this part and the difficulty of care levels in part 9560.0654.
History
- Statutory Authority: MS s 256.82
- History: 13 SR 1448; L 1994 c 631 s 31; 20 SR 2778; L 2005 c 56 s 2
Minn. R. 9560.0654 Difficulty of Care Assessments
Subpart 1. General.
Within the highest appropriate level and the respective point range of subparts 2 to 7, a single point value shall be assigned based on the age of the child, the number of conditions requiring special care, and the degree of difficulty of caring for each condition.
Subp. 2. Level A.
A child eligible for difficulty of care payments under part 9560.0653:
A. shall be assessed at level A if the child requires a moderate amount of additional supervision or assistance, including that required by:
B. within level A, shall be assigned no fewer than one and no more than 35 difficulty of care points.
Subp. 3. Level B.
A child eligible for difficulty of care payments under part 9560.0653:
A. shall be assessed at level B if the child requires a significant amount of additional supervision or assistance, including that required by:
B. within level B, shall be assigned no fewer than 36 and no more than 70 difficulty of care points.
Subp. 4. Level C.
A child eligible for difficulty of care payments under part 9560.0653:
A. shall be assessed at level C if the child requires an extensive amount of additional supervision or assistance, including that required by:
B. within level C, shall be assigned no fewer than 71 and no more than 105 difficulty of care points.
Subp. 5. Level D.
A child eligible for difficulty of care payments under part 9560.0653:
A. shall be assessed at level D if the child requires an exceptional amount of additional supervision or assistance, including that required by:
B. within level D, shall be assigned no fewer than 106 and no more than 140 difficulty of care points.
Subp. 6. Level E.
A child eligible for difficulty of care payments under part 9560.0653:
A. shall be assessed at level E if the child requires an extraordinary amount of supervision or assistance, including that required by:
B. within level E, shall be assigned no fewer than 141 and no more than 175 difficulty of care points.
Subp. 7. Level F.
A child eligible for difficulty of care payments under part 9560.0653:
A. shall be assessed at level F if the child requires supervision or assistance in excess of that of Level E under subpart 6; and
B. within level F, shall be assigned no fewer than 176 and no more than 225 difficulty of care points.
History
- Statutory Authority: MS s 256.82
- History: 13 SR 1448; L 1994 c 631 s 31; L 2005 c 56 s 2
Minn. R. 9560.0655 [Repealed, L 2013 c 108 art 17 s 24]
[Repealed, L 2013 c 108 art 17 s 24]
Minn. R. 9560.0656 Documentation
Subpart 1. Assessment instrument.
The local agency shall document the assessment of the difficulty of care under parts 9560.0653 and 9560.0654 using a written assessment instrument consistent with parts 9560.0653 and 9560.0654. The case record shall include a description of each condition on which the assessment is based.
Subp. 2. Approval of assessment instrument.
The assessment instrument required by subpart 1 must be approved by the commissioner.
History
- Statutory Authority: MS s 256.82
- History: 13 SR 1448; 20 SR 2778
Minn. R. 9560.0657 Effective Date
Parts 9560.0651 to 9560.0656 and the amendments to part 9560.0650, as adopted at 13 State Register, page 1448, on December 19, 1988, are effective January 1, 1989.
History
- Statutory Authority: MS s 256.82
- History: 13 SR 1448
Minn. R. 9560.0660 [Repealed, L 2010 c 301 art 3 s 11]
[Repealed, L 2010 c 301 art 3 s 11]
Minn. R. 9560.0665 Notice and Appeal Procedures
Subpart 1. Request for foster care payments.
If a relative who is caring for a child contacts the county and requests foster care services or payments, the county must give the relative a written notice explaining:
A. that if the relative believes the child in the relative's care needs child protective services, the relative may contact the county to make a child protection report, how the contact can be made, and that the county will determine if child protective services are required and, if so, what those services shall be; and
B. that if the relative believes the county has placed the child in the relative's home pursuant to a court order or a voluntary placement agreement and the relative is not receiving foster care payments on the child's behalf, the relative may request payments. The county must enclose a "Request for Foster Care Payment Based on Placement" form for that purpose. The form must include a statement that the county will approve or deny the request within 30 days.
Subp. 2. Response to request for foster care payments.
Within 30 days of receiving a request for foster care payments on the form provided under subpart 1, item B, the county must evaluate the request and provide a written notice to the relative. The notice must include:
A. a statement of the county's decision of approval or denial and an explanation for the decision;
B. a statement of the legal authority for the decision;
C. a statement that the relative has a right to a fair hearing review by the department;
D. the procedure for seeking review;
E. a statement describing the scope of review; and
F. a name and telephone number of a contact person at the county.
Subp. 3. Review of claims of erroneous benefits.
Before or at the time of mailing the first foster care payment to a foster care provider, the county must give the foster care provider a written notice that includes:
A. a statement of and explanation for the starting date of the payments;
B. the amount of room and board;
C. the amount of any difficulty-of-care payment, if any, and an explanation of the manner in which the difficulty-of-care payment was calculated;
D. an explanation of any offset for public assistance paid;
E. a statement of legal authority;
F. a statement that the foster care provider has a right to a fair hearing review by the department;
G. a statement describing the scope of review; and
H. a name and telephone number of a contact person at the county.
Subp. 4. Notice of initial assessment of difficulty of care.
As soon as reasonably practicable following the initiation of foster care placement of a child, the county must perform the difficulty-of-care (DOC) assessment required under part 9560.0653. Upon completion of the assessment, the county must give the child's foster care provider a written notice that includes:
A. a statement of the DOC rating assigned by the county and the dollar value of the rating assigned;
B. the method of assessment; this requirement may be satisfied by giving the foster care provider a copy of the DOC assessment instrument completed for the child by the county;
C. a statement of the legal authority for the rating;
D. a statement of the circumstances under which the agency must reassess a child as required by part 9560.0650, subpart 6;
E. the procedure for seeking a reassessment; and
F. a statement that, following reassessment, a foster care provider has a right to a fair hearing review of the reassessment by the department.
Subp. 5. Review of reassessment of difficulty-of-care (DOC) rating.
Upon reassessment of a child's difficulty-of-care (DOC) rating, the county must give written notice to the foster care provider. The notice must include:
A. the prior DOC rating;
B. the new DOC rating;
C. the effective date of the rating; this date may precede the request for reassessment when supported by evidence;
D. the reason for the new rating, a copy of the completed DOC assessment instrument will be sufficient;
E. the reason for the effective date;
F. a statement of the legal authority for the assessment;
G. a statement that the foster care provider has the right to a fair hearing review by the department;
H. the procedure for seeking review;
I. a statement describing the scope of review; and
J. a statement that a foster care provider who requests review of the proposed change in the DOC rating within ten days of the date of the notice may also request that foster care payments continue at the provider's current level pending fair hearing review, but if the county's proposed action is sustained upon review, the agency may recover any overpayment paid.
Subp. 6. Notice and review of reduction of days covered.
When the county reduces foster care payments or provides foster care payments for fewer days than the foster care provider requested, the county must provide a written notice to the provider. The notice must include:
A. a statement of the reduction in payment or of the number of days for which a check is being issued;
B. an explanation of the reason for the reduction or the number of days;
C. a statement of the legal authority for the decision;
D. a statement that the foster care provider has a right to a fair hearing review by the department;
E. the procedure for seeking review;
F. a statement describing the scope of review;
G. in the case of reduction in payment, a statement that a foster care provider who requests review of the proposed reduction in payment within ten days of the notice may request that foster care payments continue at the current level pending fair hearing review, but if the county's proposed action is sustained upon review, the agency may recover any overpayments; and
H. a name and telephone number of a contact person at the county.
Subp. 7. Notice of termination.
When the county terminates foster care payments to a foster care provider, the county must send written notice to the foster care provider. The notice must be provided with the final voucher the county sends to the foster care provider if possible, but in all cases, at least ten days before the first month in which no payment will be made. The written notice must include:
A. the date after which foster care payments will not be made;
B. the reason the county will terminate payments, and the event on which the county bases its determination that the placement ended;
C. a statement of the legal authority for the decision;
D. a statement that the foster care provider has a right to a fair hearing review by the department;
E. the procedures for seeking review;
F. a statement describing the scope of the review;
G. a statement that:
H. a name and telephone number of a contact person at the county.
Subp. 8. Requesting a hearing.
After receiving notice under subparts 2 to 7, foster care providers or relative custodians who want a fair hearing review of a decision by the county must submit a written request for a hearing to the department within 30 days of receiving the notice, or within 90 days of receiving the notice if good cause can be shown why the request was not made within 30 days. Foster care providers may also seek fair hearing review of a request for foster care payments or reassessment of DOC if they do not receive written notice of the county's decision on their request within a reasonable time.
Subp. 9. Scope of review.
The scope of hearings involving claims to foster care payments shall be limited to the issue of whether the county is legally responsible for a child's placement under court order or voluntary placement agreement, and, if so, the correct amount of foster care payment to be made on the child's behalf. The hearing shall not include review of the propriety of the county's child protection determination or child placement decision.
History
- Statutory Authority: MS s 257.071; 257.072; 260C.212; 260C.215
- History: 20 SR 2778; L 1999 c 139 art 4 s 2
Minn. R. 9560.0670 Recruitment of Foster Care Providers
Subpart 1. Recruitment; general.
The agency must recruit and license family foster homes from as wide a variety of backgrounds as possible.
Subp. 1a. Recruitment plan.
The agency must develop and implement a plan for diligent recruitment of foster care providers who reflect the ethnic and racial diversity of children in the state for whom foster homes are needed. The agency may develop the plan directly or through a contract with another county, tribe, or authorized child-placing agency.
Subp. 1b. Outreach for recruitment.
The agency must work diligently with community and religious organizations, Indian tribes, and other individuals and groups to recruit foster care providers who reflect the ethnic and racial diversity of children in Minnesota for whom foster care providers are needed. The agency may contact the Ombudsperson for Families and the state ethnic councils for assistance.
Subp. 1c. Documentation of compliance with plan.
The agency must keep a record of its actions to comply with the requirements of this part.
Subp. 2. Assistance to foster care providers.
The agency must train and assist foster care providers as necessary to assure the well-being of the child in foster care.
Subp. 3. Foster care providers as advisers.
The agency must consult with foster care providers in the development of policies and procedures pertaining to foster care.
Subp. 4. Relicensure.
Before recommending relicensure, the agency must evaluate with the foster care providers the services furnished by the foster care provider and the agency. The agency must give a copy of the evaluation to the foster care provider.
Subp. 5. Racial bias.
The agency must work to eliminate racial, ethnic, and national origin discrimination and bias in adoption and foster care recruitment, selection, and placement procedures. The agency must assess the foster care applicant's or foster care provider's capacity for accepting children of diverse backgrounds. If the agency concludes that the applicant or provider has negative attitudes toward people of a particular race, religion, color, or national origin, the agency must refuse licensure or relicensure and not place additional children with that provider.
History
- Statutory Authority: MS s 14.388; 256.01; 256.82; 256E.05; 257.071; 257.072; 257.175; 260.40; 260C.212; 260C.215; 260C.451; 393.07
- History: 20 SR 2778; L 1999 c 139 art 4 s 2; 29 SR 1367
Minn. R. 9560.0750 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9560.0760 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9560.0770 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9560.0780 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9560.0790 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9560.0800 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9560.0810 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9560.0820 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9560.0850 State Goal for Number of Children in Foster Care
The Department of Human Services establishes the following goal: of the children who are receiving assistance under Title IV-E of the Social Security Act and for whom no judicial determination has been made that permanent foster care is the best plan, no more than 40 percent shall have begun their 25th month in placement during a given fiscal year. This goal applies to federal fiscal years beginning after September 30, 1983.
History
- Statutory Authority: MS s 256.01; 256E.05; 257.071; 257.175; 260C.212; 393.07; L 1982 c 553
- History: L 1984 c 654 art 5 s 58; L 1999 c 139 art 4 s 2
Chapter 9565 HOMEMAKING SERVICES
Minn. R. 9565.0100 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.0200 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.0300 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.0400 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.0500 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.0600 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.0700 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.0800 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.0900 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.1000 Scope
Parts 9565.1000 to 9565.1300 govern the administration, purchase, and provision of homemaking services.
History
- Statutory Authority: MS s 256.01; 256E.05
Minn. R. 9565.1100 Definitions
Subpart 1. Homemaking service.
"Homemaking service" means the provision and/or teaching of child care, personal care, and home management to individuals and families.
Subp. 2. Local service agency.
"Local service agency" means local agency under the authority of the county welfare board or human service board which is responsible for social services.
History
- Statutory Authority: MS s 256.01; 256E.05
Minn. R. 9565.1200 Standards of Services
Subpart 1. Availability of service.
Each local social service agency shall make homemaking services available to eligible families and adults, consistent with state and local social service plan requirements.
Subp. 2. Qualified homemakers.
The local social service agency shall assure that each individual and family receiving homemaking services is served by a qualified homemaker.
The local social service agency shall assure that the recruitment, selection, and duties of homemakers are consistent with merit system standards.
The local social service agency shall provide for training for homemakers and staff responsible for homemaking services.
Each homemaker shall have a minimum of 24 hours of training the first year of the homemaker's employment, and six hours training annually thereafter. The training shall include courses in homemaker skills, child and personal care, human growth and development, the aging process, nutrition and home management; and training in working with developmental disability, mentally ill, chemically dependent, physically disabled or physical disabilities, and family malfunction.
The assignment of homemakers shall be made on the basis of the particular abilities and skills of the homemaker.
Subp. 3. Use of homemaker.
A homemaker is to be utilized only as indicated by the service plan developed by the client, social worker, and homemaker. The service plan shall be managed by the social worker.
Subp. 4. Role of homemaker.
The role of the homemaker shall be either that of a surrogate caretaker or that of a demonstrator or teacher working with individuals and families to help them achieve self-support; self-care; home-based care; or remedy of neglect, abuse, or exploitation of family members. The tasks shall include assisting with or giving child care, personal care, home management, food planning and preparation, laundering, and general household duties.
Subp. 5. Guidelines.
The local agency shall develop guidelines for the use of the homemaking service to assure quality of practice. These guidelines shall include the following:
A. client-social worker discussion of the case which suggests the need for a homemaker; and
B. client participation in the decision to use homemaking services.
History
- Statutory Authority: MS s 256.01; 256E.05
- History: 20 SR 2248; L 2005 c 56 s 2
Minn. R. 9565.1300 Contracting for Services
Purchase homemaking services shall meet or surpass the same standards as the local service agency should it provide services directly.
The local social service agency shall assure that it purchases that part of the homemaking services that the vendor is qualified to provide.
When the local social service agency purchases homemaking services, it has the responsibility to develop the service plan, provide ongoing, counseling help to the client, supervise the homemaker's activities provided in the service plan, and periodically assess progress and continued need for service, unless the contractor is a recognized social service agency capable of performing these functions.
History
- Statutory Authority: MS s 256.01; 256E.05
Minn. R. 9565.1400 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.1500 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.1600 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.1700 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.1800 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.1900 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2000 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2100 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2200 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2300 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2400 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2500 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2600 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2700 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2800 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.2900 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3000 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3100 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3200 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3300 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3400 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3500 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3600 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3700 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3800 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.3900 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.4000 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.4100 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.4200 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.4300 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9565.5000 [Renumbered 3400.0010]
[Renumbered 3400.0010]
Minn. R. 9565.5010 Repealed by subpart
Subpart 1.
[Renumbered 3400.0020, subpart 1]
Subp. 1a.
[Renumbered 3400.0020, subp. 2]
Subp. 1b.
[Renumbered 3400.0020, subp. 3]
Subp. 2.
[Renumbered 3400.0020, subp. 4]
Subp. 3.
[Renumbered 3400.0020, subp. 5]
Subp. 4.
[Renumbered 3400.0020, subp. 6]
Subp. 5.
[Renumbered 3400.0020, subp. 7]
Subp. 6.
[Repealed, 18 SR 1144]
Subp. 7.
[Repealed, 18 SR 1144]
Subp. 8.
[Renumbered 3400.0020, subp. 8]
Subp. 9.
[Renumbered 3400.0020, subp. 9]
Subp. 10.
[Renumbered 3400.0020, subp. 10]
Subp. 11.
[Renumbered 3400.0020, subp. 11]
Subp. 11a.
[Renumbered 3400.0020, subp. 12]
Subp. 11b.
[Renumbered 3400.0020, subp. 13]
Subp. 12.
[Renumbered 3400.0020, subp. 14]
Subp. 13.
[Repealed, 18 SR 1144]
Subp. 14.
[Renumbered 3400.0020, subp. 15]
Subp. 15.
[Renumbered 3400.0020, subp. 16]
Subp. 16.
[Renumbered 3400.0020, subp. 17]
Subp. 17.
[Renumbered 3400.0020, subp. 18]
Subp. 18.
[Renumbered 3400.0020, subp. 19]
Subp. 18a.
[Renumbered 3400.0020, subp. 20]
Subp. 19.
[Renumbered 3400.0020, subp. 21]
Subp. 20.
[Renumbered 3400.0020, subp. 22]
Subp. 21.
[Renumbered 3400.0020, subp. 23]
Subp. 22.
[Renumbered 3400.0020, subp. 24]
Subp. 22a.
[Renumbered 3400.0020, subp. 25]
Subp. 22b.
[Renumbered 3400.0020, subp. 26]
Subp. 23.
[Repealed, 18 SR 1144]
Subp. 24.
[Repealed, 18 SR 1144]
Subp. 24a.
[Renumbered 3400.0020, subp. 27]
Subp. 24b.
[Renumbered 3400.0020, subp. 28]
Subp. 25.
[Renumbered 3400.0020, subp. 29]
Subp. 26.
[Renumbered 3400.0020, subp. 30]
Subp. 27.
[Renumbered 3400.0020, subp. 31]
Subp. 28.
[Renumbered 3400.0020, subp. 32]
Subp. 28a.
[Renumbered 3400.0020, subp. 33]
Subp. 29.
[Renumbered 3400.0020, subp. 34]
Subp. 30.
[Renumbered 3400.0020, subp. 35]
Subp. 31.
[Renumbered 3400.0020, subp. 36]
Subp. 32.
[Renumbered 3400.0020, subp. 37]
Subp. 32a.
[Renumbered 3400.0020, subp. 38]
Subp. 33.
[Repealed, 18 SR 1144]
Subp. 34.
[Renumbered 3400.0020, subp. 39]
Subp. 35.
[Renumbered 3400.0020, subp. 40]
Subp. 35a.
[Renumbered 3400.0020, subp. 41]
Subp. 35b.
[Renumbered 3400.0020, subp. 42]
Subp. 36.
[Renumbered 3400.0020, subp. 43]
Subp. 37.
[Renumbered 3400.0020, subp. 44]
Minn. R. 9565.5020 [Renumbered 3400.0030]
[Renumbered 3400.0030]
Minn. R. 9565.5025 Repealed by subpart
Subpart 1.
[Renumbered 3400.0040, subpart 1]
Subp. 1a.
[Renumbered 3400.0040, subp. 2]
Subp. 2.
[Renumbered 3400.0040, subp. 3]
Subp. 3.
[Renumbered 3400.0040, subp. 4]
Subp. 4.
[Repealed, 18 SR 1144]
Subp. 5.
[Renumbered 3400.0040, subp. 5]
Subp. 5a.
[Renumbered 3400.0040, subp. 6]
Subp. 6.
[Renumbered 3400.0040, subp. 7]
Subp. 7.
[Renumbered 3400.0040, subp. 8]
Subp. 7a.
[Renumbered 3400.0040, subp. 9]
Subp. 8.
[Renumbered 3400.0040, subp. 10]
Subp. 8a.
[Renumbered 3400.0040, subp. 11]
Subp. 8b.
[Renumbered 3400.0040, subp. 12]
Subp. 8c.
[Renumbered 3400.0040, subp. 13]
Subp. 9.
[Renumbered 3400.0040, subp. 14]
Subp. 10.
[Renumbered 3400.0040, subp. 15]
Subp. 11.
[Renumbered 3400.0040, subp. 16]
Minn. R. 9565.5027 [Renumbered 3400.0050]
[Renumbered 3400.0050]
Minn. R. 9565.5030 Repealed by subpart
Subpart 1.
[Renumbered 3400.0060, subpart 1]
Subp. 1a.
[Renumbered 3400.0060, subp. 2]
Subp. 2.
[Repealed, 18 SR 1144]
Subp. 3.
[Repealed, 18 SR 1144]
Subp. 4.
[Renumbered 3400.0060, subp. 3]
Subp. 5.
[Renumbered 3400.0060, subp. 4]
Subp. 6.
[Renumbered 3400.0060, subp. 5]
Subp. 7.
[Renumbered 3400.0060, subp. 6]
Subp. 7a.
[Renumbered 3400.0060, subp. 7]
Subp. 8.
[Repealed, 18 SR 1144]
Subp. 9.
[Renumbered 3400.0060, subp. 8]
Subp. 10.
[Renumbered 3400.0060, subp. 9]
Minn. R. 9565.5040 [Repealed, 18 SR 1144]
[Repealed, 18 SR 1144]
Minn. R. 9565.5050 [Renumbered 3400.0070]
[Renumbered 3400.0070]
Minn. R. 9565.5060 Repealed by subpart
Subpart 1.
[Repealed, 18 SR 1144]
Subp. 2.
[Renumbered 3400.0080, subpart 1]
Subp. 2a.
[Renumbered 3400.0080, subp. 2]
Subp. 2b.
[Renumbered 3400.0080, subp. 3]
Subp. 2c.
[Renumbered 3400.0080, subp. 4]
Subp. 3.
[Repealed, 18 SR 1144]
Subp. 4.
[Repealed, 18 SR 1144]
Subp. 4a.
[Renumbered 3400.0080, subp. 5]
Subp. 4b.
[Renumbered 3400.0080, subp. 6]
Subp. 5.
[Repealed, 18 SR 1144]
Subp. 6.
[Repealed, 18 SR 1144]
Subp. 7.
[Repealed, 18 SR 1144]
Subp. 8.
[Renumbered 3400.0080, subp. 7]
Subp. 9.
[Renumbered 3400.0080, subp. 8]
Minn. R. 9565.5065 [Renumbered 3400.0090]
[Renumbered 3400.0090]
Minn. R. 9565.5070 Repealed by subpart
Subpart 1.
[Renumbered 3400.0100, subpart 1]
Subp. 2.
[Renumbered 3400.0100, subp. 2]
Subp. 2a.
[Renumbered 3400.0100, subp. 3]
Subp. 3.
[Renumbered 3400.0100, subp. 4]
Subp. 4.
[Renumbered 3400.0100, subp. 5]
Minn. R. 9565.5080 Repealed by subpart
Subpart 1.
[Renumbered 3400.0110, subpart 1]
Subp. 1a.
[Renumbered 3400.0110, subp. 2]
Subp. 1b.
[Renumbered 3400.0110, subp. 3]
Subp. 1c.
[Renumbered 3400.0110, subp. 4]
Subp. 1d.
[Renumbered 3400.0110, subp. 5]
Subp. 2.
[Renumbered 3400.0110, subp. 6]
Subp. 3.
[Renumbered 3400.0110, subp. 7]
Subp. 4.
[Renumbered 3400.0110, subp. 8]
Subp. 5.
[Renumbered 3400.0110, subp. 9]
Subp. 6.
[Renumbered 3400.0110, subp. 10]
Minn. R. 9565.5090 [Renumbered 3400.0120]
[Renumbered 3400.0120]
Minn. R. 9565.5100 Repealed by subpart
Subpart 1.
[Renumbered 3400.0130, subpart 1]
Subp. 1a.
[Renumbered 3400.0130, subp. 2]
Subp. 1b.
[Renumbered 3400.0130, subp. 3]
Subp. 1c.
[Renumbered 3400.0130, subp. 4]
Subp. 1d.
[Renumbered 3400.0130, subp. 5]
Subp. 1e.
[Renumbered 3400.0130, subp. 6]
Subp. 1f.
[Renumbered 3400.0130, subp. 7]
Subp. 1g.
[Renumbered 3400.0130, subp. 8]
Subp. 2.
[Renumbered 3400.0130, subp. 9]
Subp. 3.
[Renumbered 3400.0130, subp. 10]
Minn. R. 9565.5110 Repealed by subpart
Subpart 1.
[Renumbered 3400.0140, subpart 1]
Subp. 2.
[Renumbered 3400.0140, subp. 2]
Subp. 2a.
[Renumbered 3400.0140, subp. 3]
Subp. 2b.
[Renumbered 3400.0140, subp. 4]
Subp. 2c.
[Renumbered 3400.0140, subp. 5]
Subp. 2d.
[Renumbered 3400.0140, subp. 6]
Subp. 3.
[Renumbered 3400.0140, subp. 7]
Subp. 3a.
[Renumbered 3400.0140, subp. 8]
Subp. 4.
[Renumbered 3400.0140, subp. 9]
Subp. 5.
[Renumbered 3400.0140, subp. 10]
Subp. 6.
[Repealed, 18 SR 1144]
Subp. 7.
[Renumbered 3400.0140, subp. 11]
Subp. 7a.
[Renumbered 3400.0140, subp. 12]
Subp. 7b.
[Renumbered 3400.0140, subp. 13]
Subp. 8.
[Renumbered 3400.0140, subp. 14]
Subp. 9.
[Repealed, 18 SR 1144]
Subp. 10.
[Repealed, 18 SR 1144]
Subp. 10a.
[Renumbered 3400.0140, subp. 15]
Subp. 10b.
[Renumbered 3400.0140, subp. 16]
Subp. 10c.
[Renumbered 3400.0140, subp. 17]
Subp. 10d.
[Renumbered 3400.0140, subp. 18]
Subp. 11.
[Renumbered 3400.0140, subp. 19]
Subp. 12.
[Renumbered 3400.0140, subp. 20]
Minn. R. 9565.5120 [Renumbered 3400.0150]
[Renumbered 3400.0150]
Minn. R. 9565.5130 [Renumbered 3400.0160]
[Renumbered 3400.0160]
Minn. R. 9565.5140 [Renumbered 3400.0170]
[Renumbered 3400.0170]
Minn. R. 9565.5150 [Renumbered 3400.0180]
[Renumbered 3400.0180]
Minn. R. 9565.5160 [Renumbered 3400.0190]
[Renumbered 3400.0190]
Minn. R. 9565.5170 [Renumbered 3400.0200]
[Renumbered 3400.0200]
Minn. R. 9565.5180 [Renumbered 3400.0210]
[Renumbered 3400.0210]
Minn. R. 9565.5190 [Renumbered 3400.0220]
[Renumbered 3400.0220]
Minn. R. 9565.5200 [Renumbered 3400.0230]
[Renumbered 3400.0230]
Minn. R. 9565.5500 MR 1999 [Obsolete, MS s 14.47, subd. 6, paragraph (b)]
MR 1999 [Obsolete, MS s 14.47, subd. 6, paragraph (b)]
Minn. R. 9565.5510 MR 1999 [Obsolete, MS s 14.47, subd. 6, paragraph (b)]
MR 1999 [Obsolete, MS s 14.47, subd. 6, paragraph (b)]
Minn. R. 9565.5520 MR 1999 [Obsolete, MS s 14.47, subd. 6, paragraph (b)]
MR 1999 [Obsolete, MS s 14.47, subd. 6, paragraph (b)]
Chapter 9566 SUPPORT PAYMENTS
Minn. R. 9566.0010 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Chapter 9570 RESIDENTIAL PROGRAMS AND SERVICES FOR PHYSICALLY DISABLED
Minn. R. 9570.0100 [Renumbered 3321.0100]
[Renumbered 3321.0100]
Minn. R. 9570.0200 [Renumbered 3321.0200]
[Renumbered 3321.0200]
Minn. R. 9570.0300 [Renumbered 3321.0300]
[Renumbered 3321.0300]
Minn. R. 9570.0400 [Renumbered 3321.0400]
[Renumbered 3321.0400]
Minn. R. 9570.0500 [Renumbered 3321.0500]
[Renumbered 3321.0500]
Minn. R. 9570.0600 [Renumbered 3321.0600]
[Renumbered 3321.0600]
Minn. R. 9570.0700 [Renumbered 3321.0700]
[Renumbered 3321.0700]
Minn. R. 9570.0800 [Renumbered 3321.0800]
[Renumbered 3321.0800]
Minn. R. 9570.0900 [Renumbered 3321.0900]
[Renumbered 3321.0900]
Minn. R. 9570.1000 [Renumbered 3321.1000]
[Renumbered 3321.1000]
Minn. R. 9570.1100 [Renumbered 3321.1100]
[Renumbered 3321.1100]
Minn. R. 9570.1200 [Renumbered 3321.1200]
[Renumbered 3321.1200]
Minn. R. 9570.1300 [Renumbered 3321.1300]
[Renumbered 3321.1300]
Minn. R. 9570.1400 [Renumbered 3321.1400]
[Renumbered 3321.1400]
Minn. R. 9570.2000 Statutory Authority
Minnesota Statutes, chapter 245A, establishes the authority of the commissioner of human services to set rules governing the operation of residential programs and services for persons with physical disabilities. The commissioner of human services hereby promulgates parts 9570.2000 to 9570.3400 to establish standards for residential programs and services for persons with physical disabilities.
History
- Statutory Authority: MS s 245A.09
- History: L 1984 c 654 art 5 s 58; 13 SR 1448; L 2005 c 56 s 2
Minn. R. 9570.2100 General Objectives of Program
Subpart 1. Aims.
At least these essential aims shall be incorporated in the general philosophy and subsequent policies of the program:
A. to promote the greatest degree of independence possible for each resident;
B. to enhance the ability of each resident to cope with the resident's environment;
C. to maximize and foster the human qualities of each resident; and
D. to provide a homelike atmosphere to the greatest possible extent, in which the resident is recognized as an individual whose personal interests are maintained and developed and whose personal dignity is respected and safeguarded.
Subp. 2. Culturally normal behavior.
The residential program shall attempt to elicit and maintain behavior that is as culturally normative as possible, taking into account local and subcultural differences.
Subp. 3. Location of program.
The residential program should be located within and conveniently accessible to the population served, so as to have access to necessary generic community services.
Subp. 4. Sharing with the community.
The residential program and the surrounding community should be encouraged to share their services and resources on a reciprocal basis.
Subp. 5. Use of community services.
Residents should be integrated to the greatest possible extent with the general population. To this end, generic and specialized community services, rather than program services, should be used extensively or, if possible, completely.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448; 17 SR 1279
Minn. R. 9570.2200 Definitions
Subpart 1. Active community service.
"Active community service" pertains to any human service provider (including but not limited to individuals, agencies, organizations, or institutions offering health, educational, financial, psychological, social, or vocational services) that is independent of and located apart from the residential program in the community and plans to or is presently providing service to the resident.
Subp. 2. Common living areas.
"Common living areas" refers to all portions of the residential facility designated for the shared usage of its residents.
Subp. 3. Developmental/rehabilitative services.
"Developmental/rehabilitative services" include those services that are designed to promote the resident's gradual and synchronized progression toward differentiation, complexity, and ultimate integration of structure, function, and behavior and those that are designed to attain maximum reduction of disability and restoration of the resident to the best possible functional level.
Subp. 4. In-residence medical services.
"In-residence medical services" means that organized programs of care and services provided within the confines of the residential facility pertaining to medical care that are performed by or at the direction of a physician on behalf of residents by physicians, dentists, nurses, and other professional and technical personnel.
Subp. 5. Mobility categories.
"Mobility categories" denotes the following four classifications of ease and independence with which a person can move from one place to another:
A. Ambulatory: ability to walk independently and at least negotiate any barriers such as ramps, doors, stairs, corridors, etc., as may be necessary to get in and out of the facility.
B. Mobile: ability to move from place to place with the use of devices such as walkers, crutches, wheelchairs, wheeled platforms, etc.
C. Nonambulatory: inability to walk independently.
D. Nonmobile: inability to independently move from place to place.
Subp. 6. Operator.
"Operator" means the person or persons, whether or not owners, who manage the residential program and are responsible for the general program of the facility and the individual programs of the residents.
Subp. 7. Physical disabilities.
"Physical disabilities" encompasses those orthopedic, incoordinative, sight, and hearing disabilities that culminate in the significant reduction of mobility, flexibility, coordination, or perceptiveness and that, singly or in combination, interfere with the individual's ability to live and function independently; that are not the result of the normal aging process; and that are considered to be chronic conditions.
Subp. 8. Program.
"Program" means the planned and purposeful set of conditions and events established by or through the residential program that covers all or a portion of the major areas of the resident's life.
Subp. 9. Resident.
"Resident" means any individual who resides in or receives service from a residential program, including current and former residents as well as those persons being considered for residence.
Subp. 10. Resident living area.
"Resident living area" means that building or distinct portion thereof that contains sleeping, living, or recreation, and, in some instances, dining and kitchen, areas.
Subp. 11. Residential facility.
"Residential facility" refers to any institution, building, agency, or place offering some element of congregate care or service in which an individual lives or dwells on a regular basis and at least uses for sleeping; for maintaining personal clothing, papers, and other personal possessions; and as the designated mailing address.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448; 17 SR 1279; L 2005 c 56 s 2
Minn. R. 9570.2300 Program Classification
Subpart 1. Basis.
Residential programs will be classified on the basis of the level of care and service needs of their residents.
Subp. 2. Level I.
Level I will include all residential programs serving five or more persons with physical disabilities in the various mobility categories who can live independently in the community with modification of certain architectural barriers and who:
A. are capable of performing substantially all of their own personal-care functions;
B. are capable of using regular public and/or private transportation; and
C. are 16 years of age or older. These shall be interpreted as the minimum criteria to be applied to any resident with a physical disability in a Level I program.
Subp. 3. Level II.
Level II will include all residential programs serving five or more persons with physical disabilities in the various mobility categories who have some limitations on their ability to live independently in the community even with the modification of certain architectural barriers and who:
A. are in need of assistance in varying degrees with personal-care functions;
B. have service needs that exclude continuing in-residence medical care; and
C. are either children or adults. These shall be interpreted as the minimum criteria to be applied to any resident with a physical disability in a Level II program.
Subp. 4. Level III.
Level III will include all residential programs serving five or more persons with physical disabilities in the various mobility categories whose ability to live independently in the community is severely circumscribed even with the modification of certain architectural barriers and who:
A. are in need of some form of continuing in-residence medical service, irrespective of other services needed;
B. are in need of assistance with a substantial portion of personal-care functions; and
C. are either children or adults. These shall be interpreted as the minimum criteria to be applied to any resident with a physical disability in a Level III program.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448; L 2005 c 56 s 2
Minn. R. 9570.2400 Admission, Transfer, and Discharge Policies and Procedures
The program's admission, transfer, and discharge policies and procedures shall:
A. provide for participation by the resident and/or parent, guardian, or a designated representative in all such decisions;
B. include an initial and periodic assessment of all relevant physical, emotional, social, cognitive, vocational, and other significant factors by program staff and the appropriate active community service representatives;
C. prohibit discrimination in all such considerations on the basis of race, color, religion, nationality, or sex where it is the general policy of the program to serve persons of both sexes;
D. insure that adequate information about the facility and its program is disseminated to all interested and involved parties; and
E. base all such decisions on the individual program needs of the present or prospective resident and their compatibility with the facility's capacity to formally arrange or directly provide program resources and the facility's physical and spatial constraints.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448; 17 SR 1279
Minn. R. 9570.2500 Developmental and Rehabilitative Services
As determined by the resident's abilities and individual program needs, the residential program shall:
A. provide directly or otherwise formally arrange developmental and rehabilitative services in order to strengthen and sustain the resident's capacity to function independently;
B. ensure that developmental and rehabilitative services are sufficient in variety and scope to satisfy each resident's needs and are of a quality comparable to those services provided in the wider community; and
C. arrange for developmental and rehabilitative services, including a periodic review, on the basis of an individual service plan developed by facility staff and appropriate active community service representatives.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448
Minn. R. 9570.2600 Resident and Staff Policies and Procedures
The manner in which staff members provide service and care to the residents is vital to the effectiveness of the facility's program. In this respect, the program's resident-staff policies and procedures shall:
A. establish the care and development of the residents as the primary responsibility of its staff;
B. provide for a fair, impartial, and humane governing and management process that protects the interests of the residents singly and as a group while taking into account resident views on those matters affecting them;
C. ensure that staff members participate in the development of and have access to resident program plans and recommendations; and
D. seek to create and maintain a warm, personal, supportive environment that is conducive to the well-being of the resident and that promotes maximum independent functioning.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448
Minn. R. 9570.2700 Records
Records are to be maintained by the program for residents, employees, and administrative operations and shall:
A. contain sufficient and accurate information for and be accessible to the appropriate and authorized persons to plan, implement, review, and evaluate the care and services to individual residents as well as the broader programs offered through or arranged by the program;
B. provide adequate legal protection of the rights of the residents, the program, and its staff through correct documentation of the various activities; and
C. be considered confidential and subject to proper consent procedures for all but those program staff members and active community service representatives who are actually involved in and require such information for the provision of care and services to residents.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448
Minn. R. 9570.2800 Administrative Organization
Policies and procedures pertaining to the program's administrative organization shall:
A. specify its philosophy, purpose, and goals, making them available to all interested parties;
B. define its organizational structure;
C. have available documentary evidence of its source of operating authority;
D. provide for the sound management of all facets of the facility's operations for which a qualified person designated as director is responsible; and
E. ensure that the facility's operations are organized and managed in a manner appropriate to the program needs of the residents.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448
Minn. R. 9570.2900 Staffing and Personnel
The program's personnel policies and practices shall:
A. ensure that a sufficient number of adequately trained and qualified staff members who are administratively responsible to persons of appropriate program training and experience are on duty during each 24-hour period to provide suitable care and service to the residents in a manner consistent with the facility's stated program objectives;
B. delineate staff responsibilities to cover emergency situations;
C. provide for an initial and periodic assessment of the health status of staff members;
D. establish and maintain job descriptions for all personnel;
E. promote the development and upgrading of staff by making available opportunities for in-service training; and
F. provide for the periodic, at least annual, evaluation of each employee.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448
Minn. R. 9570.3000 Organization of Resident Living Areas
The placement and grouping of residents within the context of the spatial confines of the facility are prominent considerations for the effective use of care and services. To this extent the program policies and procedures pertaining to the organization of resident-living areas shall:
A. seek to create and maintain an environment that promotes the development of meaningful interpersonal relationships among residents and between residents and staff;
B. maintain resident-living areas separate from other program areas in the facility;
C. establish and follow criteria for placement of residents within the facility that will promote the growth and development of all those together in residence; and
D. not exclude persons from residence that the program is otherwise equipped to serve solely on the basis of the program's internal placement criteria.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448
Minn. R. 9570.3100 Resident Living Services
Resident living services (including, but not limited to, food, laundry, housekeeping, and plant maintenance services) shall:
A. approximate the patterns of a family home from the standpoint of scheduling, frequency, and manner of provision of such services;
B. be provided in accordance with the customs of the resident population and its developmental levels; and
C. be provided in a manner that assures the maintenance of a high level of health, safety, and sanitation within the facility that complies with all such applicable federal, state, and local regulations.
History
- Statutory Authority: MS s 245A.09
Minn. R. 9570.3200 Design and Equipage of Living Areas
The design, construction, and furnishing of resident living areas shall:
A. be consistent with the developmental levels and programmatic needs of the resident;
B. simulate the arrangements of a family home;
C. provide for adequate space and equipment to carry out the program's expressed functions and activities; and
D. assure continued compliance with all applicable state and local fire, safety, sanitation, building, and zoning regulations.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448
Minn. R. 9570.3300 Removal and Reduction of Architectural Barriers
The program's policies and procedures to remove and reduce architectural barriers shall:
A. seek to minimize physical, social, and psychological isolation of the residents;
B. provide for the residents' accessibility to living, recreational, and other program areas within the facility, as well as such resources in the community; and
C. provide for and protect the health and safety of the residents.
History
- Statutory Authority: MS s 245A.09
- History: 13 SR 1448
Minn. R. 9570.3400 Licensing Procedures
Residential programs for persons with physical disabilities must be licensed under Minnesota Statutes, chapter 245A.
History
- Statutory Authority: MS s 245A.09
- History: 18 SR 2748; L 2005 c 56 s 2; L 2010 c 382 s 86
Minn. R. 9570.3500 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9570.3600 [Repealed, 18 SR 2748]
[Repealed, 18 SR 2748]
Minn. R. 9570.4000 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9570.4100 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9570.4200 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Minn. R. 9570.4300 [Repealed, 22 SR 340]
[Repealed, 22 SR 340]
Chapter 9571 COMMUNITY ACTION PROGRAMS
Minn. R. 9571.0010 Purpose
This chapter establishes procedures to recognize and fund community action programs. Entities eligible to receive, recognize, and operate community action programs include community action agencies, Indian tribal governments, and migrant and seasonal farmworker organizations.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0020 Definitions
Subpart 1. Scope.
The terms used in this chapter have the meanings given them in this part.
Subp. 2. Act.
"Act" means Minnesota Statutes, sections 256E.30 to 256E.32.
Subp. 3. Applicant.
"Applicant" means a community action agency, an Indian tribal government, or a migrant and seasonal farmworker organization, which applies for a grant under the act from the department to fund a community action program.
Subp. 4. Cessation.
"Cessation" means a voluntary end to the performance of all community action program services by a community action agency in a service area as provided for in part 9571.0050 and the removal of the agency's designation for the entire area that does not create the right of appeal.
Subp. 5. Commissioner.
"Commissioner" means the commissioner of the Minnesota Department of Human Services.
Subp. 6. Community.
"Community" means the people to be served by the community action agency, Indian tribal government, or migrant and seasonal farmworker organization in its service area.
Subp. 7. Community action agency.
"Community action agency" means an entity that:
A. has the authority to receive funds under Minnesota Statutes, section 256E.30, to support community action programs as described in Minnesota Statutes, section 256E.32;
B. has previously been determined eligible under federal law and regulations or is eligible under federal law and regulations; and
C. has previously been designated and recognized or is designated as provided under part 9571.0030 and recognized as provided under part 9571.0040.
Subp. 8. Community action program.
"Community action program" means activities consistent with Minnesota Statutes, section 256E.32.
Subp. 9. Community services block grant.
"Community services block grant" means federal funds authorized by United States Code, title 42, chapter 106, sections 9901-9926, and disbursed to grantees by the formula in the act.
Subp. 10. Denial.
"Denial" means the department's rejection of a proposed application for grant funds due to the applicant's failure to meet the requirements of part 9571.0150, subpart 5.
Subp. 11. Department.
"Department" means the Minnesota Department of Human Services.
Subp. 12. Designation.
"Designation" means selection of an entity as a service area's exclusive community action agency by a governing body after a public hearing has been held.
Subp. 13. Designee.
"Designee" means an entity nominated by a governing body to become a community action agency.
Subp. 14. Governing body.
"Governing body" means the elected governmental authority of a political subdivision, as defined in subpart 19, which has the power to designate a community action agency.
Subp. 15. Grant.
"Grant" means an allocation of Minnesota community action grant or community services block grant funds or both to an applicant in support of a community action program described in the application, approved by the department, and embodied in a grant contract.
Subp. 15a. Grant contract.
"Grant contract" means a written instrument that defines the legal relationship between the department and a grantee when the principal purpose of the relationship is to transfer Minnesota community action grant funds or community services block grant funds or both to the grantee to support a community action program. The grant contract must contain the following contract clauses:
A. how often the grantee must submit client and fiscal performance reports and financial status reports;
B. audit requirements as specified by state and federal law;
C. that any alteration to the grant contract and its attachments must be made in writing and executed by the same parties who executed the original grant contract, or their successors in office; and
D. how long records must be kept by the grantee according to state and federal law.
Subp. 16. Grantee.
"Grantee" means a community action agency, an Indian tribal government, or a migrant and seasonal farmworker organization, whose application to receive Minnesota community action grant money or community service block grant money, or both, has been approved by the department.
Subp. 17. Local unit of government.
"Local unit of government" means counties, Indian tribal governments, cities, and townships.
Subp. 18. Minnesota community action grant.
"Minnesota community action grant" means state appropriated funds disbursed to grantees by the formula in the act.
Subp. 19. Political subdivision.
"Political subdivision" means a local unit of government that has jurisdiction over the entire area served by a community action agency. Under no circumstances will the governmental unit be smaller than a county unless the service area of the community action agency coincides with the jurisdictional boundaries of the local unit of government.
Subp. 20. Recognition.
"Recognition" means a process of:
A. review by the department to assure compliance with applicable state and federal law and the designation procedures in part 9571.0040, subpart 1;
B. referral to the governor of the department's request for recognition in part 9571.0040, subpart 3; and
C. approval by the governor of the request for recognition.
Subp. 21. Service area.
"Service area" means the geographic boundaries in which a community action agency is designated to operate.
Subp. 22. Subgrantee.
"Subgrantee" means any entity that a grantee contracts to perform some or all of the community action program services authorized under a grant.
Subp. 23. Termination.
"Termination" means the involuntary and permanent elimination of or reduction in available grant money to a grantee that gives rise to a grantee's right of appeal under part 9571.0060, subpart 5, and which may also coincide with the removal of a community action agency's designation or recognition.
Subp. 24. Withholding.
"Withholding" means the department's reservation of funds available under a grant as provided in part 9571.0090 until corrective action by a grantee has successfully remedied a defect identified by the department.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; L 1994 c 483 s 1; L 1998 c 397 art 11 s 3; L 2005 c 98 art 1 s 24; L 2005 c 112 art 2 s 41; 33 SR 1300
Minn. R. 9571.0030 Designation of Community Action Agencies
Subpart 1. Authority to designate.
The designation of a community action agency must be made by the political subdivision or combination of political subdivisions having jurisdiction over the entire area to be served. A designation must be made by the governing body of a political subdivision whose boundaries are at least coextensive with the proposed service area. The power to designate may not be delegated.
Subp. 2. Notice and documents.
Before a designee may be designated as a community action agency by a political subdivision, the governing body of the political subdivision having the requisite authority must prepare and file with the department a notice of intent to designate and eligibility documents applicable to the designee. The notice of intent to designate must state how the designee meets the requirements for an eligible entity established under the Community Services Block Grant Act. Eligibility documents are the following:
A. evidence of designee's incorporation or proposed efforts toward incorporation, if applicable;
B. evidence of tax exempt status or proposed efforts toward achieving tax exempt status, if applicable;
C. assurance of compliance with the act, including requirements for the composition of the designee's existing or proposed board of directors;
D. a statement that describes the proposed area to be served; and
E. a proposed mission statement.
Subp. 3. Notice of public hearing.
After the notice of intent to designate and the eligibility documents have been filed with the department, the governing body must hold a public hearing on the proposed designation. Notice of the hearing must be given according to items A to D.
A. At least 30 calendar days before the hearing date, the governing body must send a copy of the notice of intent to designate and information on the date, time, location, and subject matter of the public hearing to all local units of government within the designee's intended service area. During the 30 days before the hearing, the affected local units of government will have an opportunity to respond in writing to the proposed designation. All comments received will be included in the official record of the hearing.
B. During the 30-day period and at least ten calendar days before the hearing, the governing body must also publish a notice of public hearing in a daily newspaper of general circulation at the county seat of each county in the designee's proposed service area. The published notice must describe the time, date, location, and subject matter of the public hearing.
C. The governing body must inform the department of the public hearing at least 30 calendar days before the hearing date.
D. Within the 30-day period and at least ten calendar days before the public hearing, the department must mail notice of the public hearing to all low-income households identified in the proposed service area. This mailed notice must contain the date, time, location, and subject matter of the public hearing. Identified low-income households are those specified on the previous community action agency's list or lists of clients.
Subp. 4. Public hearing.
A public hearing must be held 30 calendar days before designation may occur. If the area to be served by the designee includes more than one county, a public hearing in conformity with this part must be held in each county to be served.
Subp. 5. Hearing procedure.
The governing body will appoint a presiding officer to conduct the public hearing. The governing body, however, may not appoint one of its current members as the presiding officer. The presiding officer will not have a vested interest in the outcome of the proposed designation and will ensure that all persons involved in the hearing are treated fairly and impartially. At the public hearing, the representative of the designee and a representative of the governing body will make an affirmative presentation of facts establishing the designee's qualifications, expertise, and experience in providing community action program services to low-income people. Furthermore, the designee's representative will describe the mission of the community action program, the focus and direction of proposed services, and the goals for outreach to and participation by low-income people. The designee may rely upon facts presented by others on the record during the hearing to support its proposed designation. At the hearing, any interested person will be given the opportunity to present testimony and to ask questions of the designee's representative and of the governing body's representative. Furthermore, any interested party may submit written comments or exhibits.
Subp. 6. Official record.
An official record of the hearing consisting of an electronic recording and minutes of the proceedings must be kept. The official record must also include all testimony, written comments, and exhibits received pertaining to the proposed designation. The hearing record must remain open to receive written comments and exhibits for 20 calendar days following the date of hearing.
Subp. 7. Official resolution.
Once the official record of the public hearing is received and 30 calendar days have passed from the date of the hearing, the governing body may act to designate the designee as a community action agency. The governing body must pass a resolution designating the designee as a community action agency if after review of the official record the governing body finds that:
A. the opinion of the community was fairly and impartially expressed;
B. the opinion of low-income people in particular was actively encouraged, representatively sampled, and fairly expressed during the whole process;
C. the designee established the qualifications, expertise, and experience necessary to be an effective community action agency; and
D. the designee's proposed mission, services, and goals were supported by testimony and written comments received as a result of the public hearing process.
Subp. 8. Review by department.
Before provisional recognition may occur in part 9571.0040, subpart 1, the governing body must have submitted to the department for review copies of the following documents:
A. eligibility documents required in subpart 2;
B. official resolution of the governing body designating the designee;
C. notices of public hearing and a list of all publications and dates of publication of notices of hearing;
D. list of all local units of government sent copies of the notice of intent to designate and the notice of public hearing, including any responses received;
E. affidavit of service of the notice of public hearing upon low-income households identified in the service area; and
F. official record of the hearing.
Subp. 9. Costs.
Costs attributable to the designation process, including costs associated with public hearings other than contested case hearings, are the responsibility of the governing body.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0040 Recognition of Community Action Agencies
Subpart 1. Provisional recognition.
The department will provisionally recognize a designation if the department establishes compliance with applicable state law, federal law, all the designation requirements of part 9571.0030, and, where applicable, with the change of designation requirements of part 9571.0050. Provisional recognition may occur within 60 calendar days of the department's receipt of the documents required in part 9571.0030, subpart 8, an approved transition plan, where applicable, as specified in part 9571.0050, subpart 4, and the most current copies of the following:
A. articles of incorporation and bylaws;
B. Internal Revenue Service certificate of 501(c)(3) tax exempt status and Minnesota Department of Revenue certificate of tax exempt status where applicable to nonprofit community action agencies; and
C. list of board of directors, including their addresses and telephone numbers, that indicates officers and committee memberships, and the sector each director represents. If the department finds noncompliance it must inform both the governing body and the designee within the 60-day period and, if possible, offer remedies for achieving compliance.
Subp. 2. Governor's recognition.
After the requirements in subpart 1 have been met and the department has provisionally recognized a designation, the department will request recognition by the governor.
Subp. 3. Maintenance of recognition records.
To maintain recognition, a community action agency must maintain the following records and make current copies available to the department as requested:
A. articles of incorporation with any amendments and bylaws with any amendments;
B. Internal Revenue Service certificate of 501(c)(3) tax exempt status and Minnesota Department of Revenue certificate of tax exempt status where applicable to nonprofit community action agencies;
C. list of board of directors, including their addresses and telephone numbers, that indicates officers and committee memberships, tenure on the board, and the sector each director represents as required by the act;
D. board minutes of the past year and latest annual corporate report;
E. organizational chart, personnel policies, data privacy policies, affirmative action plan, voter registration plan, and client service appeals policy; and
F. the planning and evaluation processes described in parts 9571.0120 and 9571.0130.
Subp. 4. Merging of designated and recognized community action agencies.
Two or more community action agencies previously designated by one or more governing bodies and recognized by the state may seek approval to merge their organizations. The boards of directors of the community action agencies seeking to merge must:
A. notify the department of their intent to merge;
B. submit to the department a transition plan for the composition of the board of directors, the leadership and staffing of the merged agency, and the uninterrupted continuation of services; and
C. provide documentation showing that the board of directors of each community action agency involved in the proposed merger supports the merger.
Subp. 5. Review and approval of merger transition plan.
The department has 60 days from the date of receipt of the transition plan to either approve or disapprove the plan. The department may request additional information and meetings with the boards of directors or their representatives and with the leadership of the agencies. The department will consider the proximity of the service areas and the priorities listed in part 9571.0050, subpart 2, when it reviews proposed merger plans. If the transition plan is not approved, the department must provide written comments and the options for remedy of the department's concerns. The boards of directors may submit a subsequent transition plan consistent with the department's comments.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0050 Cessation and Change of Designation
Subpart 1. Circumstances for cessation.
A governing body may change its designation of a community action agency to serve the area under its jurisdiction after a request to cease all community action program operation in the entire area has been received from the designated community action agency.
Subp. 2. Priority among possible designees.
A governing body may choose a designee under this part, in descending order of priority, by:
A. requesting an existing community action agency that is located and is providing services in a contiguous area to expand its program operations into the service area;
B. requesting an existing community action agency closest to the service area or an existing community action agency within reasonable proximity to the service area to expand its program operations into the service area, if no existing community action agency in a contiguous area agrees to expand its operations; and
C. nominating any entity eligible or potentially eligible to be designated under federal law and regulations and to be recognized under part 9571.0040, when no community action agency accepts the request to operate in the service area.
Subp. 3. Procedure.
The governing body must follow the procedure in part 9571.0030 in order to change designation and must also prepare a transition plan for continuation of community action program services. The governing body must submit the transition plan to the department simultaneously with the notice of intent to designate. In addition to the notice requirements in part 9571.0030, subpart 3, the governing body must also serve copies of the notice of intent to designate and the notice of public hearing upon any existing community action agency concurrently operating in the same political subdivision and all subgrantees in the service area. Upon request, copies of the designee's eligibility documents and the transition plan must be made available by the governing body to any interested party.
Subp. 4. Additional review by department.
In addition to the review requirements in part 9571.0030, subpart 8, the department must also review the transition plan for service delivery in the interim before the governor's recognition as provided in part 9571.0040, subpart 2. The department has 30 calendar days from the date of receipt of the transition plan to either approve or disapprove of the plan. If the transition plan is not approved, the governing body may not proceed to designate a community action agency under the procedure of part 9571.0030. Without an approved transition plan in operation, the department will not forward to the governor a request for recognition as provided in part 9571.0040. If the transition plan is not approved, the governing body may submit a subsequent transition plan consistent with the department's comments. Along with the transition plan, the department must also receive evidence of service of additional notice on interested parties as required in subpart 3.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0060 Termination for Cause
Subpart 1. Cause.
A community action agency's funding, as well as its designation or recognition, will be terminated for cause. An Indian tribal government's or a migrant seasonal farmworker organization's funding will be terminated for cause. There may be multiple causes which apply. Termination for cause includes the following:
A. actions threatening imminent danger to health or safety of members of the community;
B. failure to involve low-income people in planning, oversight, and evaluation of programs and services;
C. violation of the terms of the grant contract by the grantee including:
D. failure to remedy a defect after withholding or funding termination as provided in part 9571.0090, subparts 2 and 4; or
E. denial of an application as provided in part 9571.0150, subpart 5.
Subp. 2. Termination by governing body of community action agency designation.
A governing body may terminate a community action agency's designation for cause under subpart 1, item A or B.
A. The governing body must follow the steps in subitems (1) to (4):
B. The department will notify low-income households of the termination. Upon request from the department, the community action agency must provide its current list or lists of identified low-income households to the department. Identified low-income households are those specified on the community action agency's list or lists of clients.
C. If a community action agency's designation is terminated and the community action agency's appeal rights have also been exhausted, the department must terminate funding. Where the department intervenes as a party in a contested case concerning termination of designation, funding by the department may be immediately terminated.
Subp. 3. Termination by department of community action agency funding or recognition.
The department may terminate for cause a community action agency's funding or recognition or both under subpart 1.
A. The department may terminate all or part of current or future funding for a community action agency. If the department terminates all future funding, it must also terminate a community action agency's recognition. If the department terminates a community action agency's recognition it must also terminate funding.
B. If the department decides to terminate a community action agency's funding or recognition, it will serve notice of termination upon the community action agency to be terminated and provide a copy to the governing body. The notice of termination must:
C. The department will notify identified low-income households of the termination. Upon request from the department, the community action agency must provide its current list or lists of identified low-income households to the department. Identified low-income households are those specified on the community action agency's list or lists of clients.
Subp. 4. Termination of Indian tribal government or migrant and seasonal farmworker organization funding.
The department may terminate for cause an Indian tribal government's or migrant and seasonal farmworker organization's funding under subpart 1. The department may terminate all or part of current or future funding for an Indian tribal government or migrant and seasonal farmworker organization.
A. If the department decides to terminate an Indian tribal government's or migrant and seasonal farmworker organization's funding, it will serve notice of termination upon the Indian tribal government or migrant and seasonal farmworker organization to be terminated and provide a copy to the tribal council or the migrant and seasonal farmworker organization's board of directors. The notice of termination must:
B. The department will notify identified low-income households of the termination. Upon request from the department, the Indian tribal government or migrant and seasonal farmworker organization must provide its current list or lists of identified low-income households to the department. Identified low-income households are those specified on the Indian tribal government's or migrant and seasonal farmworker organization's list or lists of clients.
Subp. 5. Appeal procedure.
If, after receipt of the notice of termination, a grantee is aggrieved, the grantee may request a contested case hearing from the department within 30 calendar days of the receipt of the notice. If the grantee's request for a contested case hearing is not received by the department during the 30-day period the grantee loses its right of appeal under this subpart. The hearing will be initiated and conducted according to parts 1400.8505 to 1400.8612 unless the grantee objects within ten business days. If the grantee objects, the hearing will be conducted according to parts 1400.5010 to 1400.8401. The request for a contested case hearing before an administrative law judge must be in writing. As provided for in part 1400.6200 or 1400.8570, the department will have the right to intervene as a party in a contested case hearing on termination of designation by a governing body.
Subp. 6. Federal appeal rights.
Federal appeal rights may also exist for an aggrieved grantee under the Community Services Block Grant Act, United States Code, title 42, chapter 106, section 9915, subsection (b).
Subp. 7. Successor.
If a community action agency's designation or recognition is terminated, the governing body will follow the priority guidelines in part 9571.0050, subpart 2, and the procedure in part 9571.0030 to designate a successor.
Subp. 8. Costs.
Only costs directly attributable to the contested case hearing process in subpart 5 are the responsibility of the department.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0070 Allocation of Funds
Subpart 1. Formula.
The department will allocate funds under the act according to the formula in Minnesota Statutes, section 256E.30, subdivision 2.
Subp. 2. Poverty level population.
For purposes of the formula in subpart 1, the poverty level population will be based on Department of Commerce, Bureau of the Census, statistics, as revised.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; L 1998 c 397 art 11 s 3; L 2005 c 98 art 1 s 24; 33 SR 1300
Minn. R. 9571.0080 Due Dates for Monthly, Periodic, and Final Reports
Monthly, periodic, and annual reports are due on the dates specified in the grant contract. If reports are delinquent, incomplete, or inaccurate, the department must proceed to withhold available funds from a grantee under part 9571.0090.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0090 Withholding of Cash Disbursements
Subpart 1. Circumstances for withholding.
The department will withhold cash disbursements available for drawdown under a grant, wherever appropriate, in lieu of termination under part 9571.0060 if a grantee is not:
A. complying with the reporting requirements of the grant as required by its grant contract with the department;
B. following its submitted and approved work plan or budget or both;
C. fulfilling the terms of its grant contract; or
D. maintaining recognition as provided in part 9571.0040, subpart 3.
Subp. 2. Notice of withholding.
Before withholding cash disbursements, the department will notify the grantee of its defective action or omission, inform the grantee of potential withholding and specify a reasonable date by which corrective action should occur. The specified date must be at least ten working days from the date of the grantee's receipt of the notice of withholding. If the defect is not remedied satisfactorily by the date specified in the notice, the department will begin to withhold available funds after that date. Upon remedying the defect, the department will reimburse the grantee for the time period between the date of the withholding in the notice to the date the defect was remedied if the grantee submits a cash request, with documentation, that clearly substantiates that expenses were used by the grantee to perform services according to the grant contract.
Subp. 3. Conversion option.
During any time within 90 calendar days following the department's actual withholding of funds, the grantee may, at its option, convert the withholding to a termination under part 9571.0060, subpart 1, item C, with right to a contested case hearing. A grantee must request in writing both a conversion to termination and a contested case hearing. After receipt of a grantee's request for conversion to termination and a contested case hearing, the department must initiate a contested case hearing and the department must initiate contested case proceedings as provided in part 9571.0060, subpart 5. The department will also send the grantee a notice of termination and comply with the other procedural requirements of part 9571.0060, subpart 3 or 4.
Subp. 4. Notice and termination.
If the grantee has not exercised its right of conversion during 90 days of withholding and if the defect has not been remedied during 90 days of withholding, the department will proceed under part 9571.0060, subpart 1, item D, to terminate the grantee's available funding for a period covering the total of:
A. the time during which the funds have been withheld; and
B. the time remaining before the grant expires. The department must first issue a final notice ten calendar days before proceeding to termination under part 9571.0060. If following a period of funding termination for failure to remedy a defect, the grantee has still not successfully remedied the identified defect, the department will deny subsequent applications by the grantee under part 9571.0150, subpart 5, item D, until corrective action has occurred.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0100 Program Guidelines and Eligible Activities
Subpart 1. Program guidelines.
Each community action program must:
A. be of benefit to low-income persons;
B. represent progress toward the elimination of poverty;
C. utilize resources from other programs operating in the service area; and
D. be of sufficient scope and size for maximum effectiveness and efficiency.
Subp. 2. Eligible grant activities.
A variety of activities as determined by the local planning process may be included in a community action program funded by a grant. Eligible activities are those designed to help low-income persons to:
A. secure and retain meaningful employment;
B. attain an adequate education;
C. obtain and maintain adequate housing and a suitable living environment;
D. make better use of available income;
E. obtain emergency assistance through loans or grants;
F. meet immediate and urgent individual and family needs, including the need for health services, nutritious food, housing, and employment-related assistance;
G. remove obstacles and solve problems which block the achievement of self-sufficiency;
H. achieve greater participation in the affairs of the community; and
I. make more effective use of other programs related to the purposes of the Community Services Block Grant Act.
Subp. 3. Federal prohibitions.
Activities ineligible for funding with community services block grant money are those listed in the community services block grant state plan. A copy of the community services block grant state plan is available by request from the Department of Human Services, Office of Economic Opportunity, P.O. Box 64962, St. Paul, MN 55164-0962.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; L 1994 c 483 s 1; L 2005 c 112 art 2 s 41; 33 SR 1300
Minn. R. 9571.0110 Participation by Low-Income Persons
Grantees must ensure maximum feasible participation of low-income persons in the local planning process of part 9571.0120, the annual work plan of part 9571.0150, subpart 1, and the evaluation process of part 9571.0130. Each grantee must devise specific opportunities for involvement of low-income people in proposing, planning, approving, and evaluating the activities of community action programs.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0120 Local Planning Process
Each grantee must develop and maintain a written plan for submission to the department as part of its grant application. The plan must include a description of how the local planning process will be implemented, how the grantees will publicize major planning activities to encourage community participation, and how the grantee will involve low-income persons in the planning process. Each work plan submitted as part of a grant application under part 9571.0150, subpart 1, must be consistent with, and complementary to, this local planning process. The local planning process of a grantee includes the following activities:
A. develop a mission statement which defines the overall grantee's purposes and which represents the views and opinions of the grantee's board of directors or tribal council, low-income groups, and representatives of the community;
B. identify and analyze community needs in order to respond to the poverty in the community and its causes;
C. assess available resources from both the public and private sectors which are available to solve the causes of poverty;
D. establish priorities and set goals for the program year;
E. develop strategies, to implement the specified goals;
F. identify programs to achieve the specified goals;
G. select the program or combination of programs to be undertaken during a program year; and
H. analyze evaluation and monitor information to influence the structure of future programming.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0130 Evaluation Process
Each grantee must develop and maintain a written process for evaluating its own community action program using the results of the evaluation to influence the grantee's future planning. The grantee must involve low-income persons in the evaluation process. The written evaluation process must be approved by the grantee's board of directors or tribal council. The written evaluation process must be maintained and available to the department upon request in order to maintain community action agency recognition under part 9571.0040, subpart 3.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0140 Administration of Grants
Subpart 1. Grantee financial control system.
Grantees must establish and use a financial control system that complies with federal and state reporting and fiscal procedures and the grant contract.
Subp. 2. Grantee audit.
Each grantee must follow the audit requirements contained in the grant contract with the department.
Subp. 3. Alterations.
A grantee must obtain prior written approval from the department before changing its work plan and budget as described in its grant contract.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0150 Grant Applications
Subpart 1. Forms and documents.
Forms necessary for completion of the application will accompany the guidelines mailed to all grantees. Assistance in completing the forms may be requested directly from the department at its central office. A grantee will submit to the department a work plan and budget on forms supplied by the department as part of the grant application process.
Subp. 2. Waiver of application deadline.
Upon written request, the department may waive the application deadline and allow an applicant to submit its grant application after that date. A request for a waiver must be signed by the chair of the applicant's board of directors or chair of the tribal council and contain justification for a waiver. The request for a waiver must be received by the department on or before the original application deadline. The department will respond to the request in writing. The department will grant a waiver if the grantee has shown good cause for why the application deadline was not met. If the department has determined that the grantee has shown good cause for missing the application deadline, the department will establish another deadline for receipt of the application.
Subp. 3. Approval of application.
The department will review all submitted applications. When the department approves an application for a grant, it will provide written notification of approval to the applicant. Requests for cash cannot be processed until an application has been approved. After applications have been approved, the department and the applicant will enter into a grant contract.
Subp. 4. Late, incomplete, or noncomplying application.
A previously funded grantee must submit an application within 45 calendar days of the application deadline or the waiver deadline established by the department, or the department will deny the application under subpart 5. If a submitted application remains incomplete or noncomplying for 30 calendar days after the department's request for a revision of the application, supplementary information, or other required documents or 45 calendar days from the application deadline or the waiver deadline, whichever period is greater, the department will deny the application under subpart 5.
Subp. 5. Denial of application.
Before the department denies an application, it will, as soon as possible, provide written notification of the deficiency leading to a possible denial and, where appropriate, request a revision of the application, supplementary information, or other required documents. An application will be denied if any of the following occur:
A. application is submitted after the deadlines in subpart 4;
B. applicant submits an incomplete application;
C. applicant submits a noncomplying application where:
D. applicant, after a period of funding termination, has not remedied a defect that first led to withholding under part 9571.0090, subpart 2. The department's denial of an application based on items A, B, and C is cause for termination of available funds for two years under part 9571.0060, subpart 1, item E. Depending on the circumstances, the department's denial of an application based on item D is cause for termination of available funds for two years under part 9571.0060, subpart 1, item E.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0160 Subgrantees
All grantees will obtain written approval from the department before delegating any part of their service delivery to a subgrantee. Grantees must enter into contracts with subgrantees outlining which community action program services the subgrantees will provide. Subgrantees must meet the same reporting and fiscal requirements as grantees. Grantees are responsible for acts or omissions of their subgrantees.
History
- Statutory Authority: MS s 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0170 Record Keeping
All records and books of account related to grants must be kept by the grantee for the time period specified in the grant contract.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Minn. R. 9571.0180 Monitoring
The department will perform on-site monitoring activities to ensure that grantees are in compliance with parts 9571.0010 to 9571.0180, the act, and other federal and state requirements.
History
- Statutory Authority: MS s 256.01; 268.0122; 268.021
- History: 16 SR 2319; 33 SR 1300
Chapter 9575 MERIT SYSTEM
Minn. R. 9575.0010 Definitions
Subpart 1. Scope.
The following definitions apply to this chapter unless the context clearly requires another meaning.
Subp. 1a. Affirmative action.
"Affirmative action" means a management program designed to ensure equal employment opportunity and correct past discrimination by identifying and removing barriers throughout a personnel system. Affirmative action includes special efforts to eliminate underuse of disabled persons, minorities, and women through recruitment, hiring, and advancement of these groups.
Subp. 2. Allocation.
"Allocation" means the assignment of a position to an appropriate class on the basis of the kind, difficulty, and responsibility of the work performed in the position.
Subp. 3. Appointing authority.
"Appointing authority" means the county board, local social services agency, human service board, or officer authorized by statute or lawfully delegated authority to make appointments to positions under the merit system.
Subp. 3a. Balanced class.
"Balanced class" means any class in which no more than 80 percent of the members are male and no more than 70 percent of the members are female.
Subp. 4. Board.
"Board" means the county board, local social services agency, or human service board.
Subp. 5. Change in allocation.
"Change in allocation" means the reclassification of a position resulting from significant sudden changes imposed by the appointing authority affecting the duties and responsibilities of a position.
Subp. 6. Class.
"Class" means one or more positions sufficiently similar in the duties performed; degree of supervision exercised or required minimum requirements of training, experience, or skill; and such other characteristics that the same title, the same tests of fitness, and the same schedule of compensation may be applied with equity to all of the positions.
Subp. 7. Commissioner or commissioner of human services.
"Commissioner" or "commissioner of human services" means the administrative head of the Department of Human Services.
Subp. 7a. Comparability adjustment.
"Comparability adjustment" means a salary range adjustment for a particular classification to correct a compensation inequity based on comparable work value.
Subp. 7b. Comparable work value.
"Comparable work value" means the value of work measured by the skill, effort, responsibility, and working conditions required in the performance of the work.
Subp. 8. Council.
"Council" means the merit system council.
Subp. 9. County agency.
"County agency" means the organization created by the county board, local social services agency, or the human service board to carry out the functions and policies of the board with regard to community social service or income maintenance programs funded in whole or in part by federal grants-in-aid requiring a merit system of personnel administration.
Subp. 10. County register.
"County register" means the subregister established for a county from a statewide competitive or promotional register containing the names of persons who have legal residence in the county or, in the event of a promotional examination, who are employed by the county agency.
Subp. 11. Local social services agency.
"Local social services agency" means the county welfare board, county board, or human service board.
Subp. 12. Day.
"Day" means a calendar day except when otherwise specified in the specific rule.
Subp. 13. Demotion.
"Demotion" means a change by an employee from a position in one class to a position in another class with less responsible duties and a lower salary range.
Subp. 13a. Disability.
"Disability" means a condition or characteristic that renders a person a disabled person. A disabled person is a person who:
A. has a physical, sensory, or mental impairment that substantially limits one or more major life activities;
B. has a record of such an impairment; or
C. is regarded as having such an impairment.
Subp. 14. Disabled veteran.
"Disabled veteran" means a veteran who is rated or certified as disabled, in accordance with the provisions of Minnesota Statutes, section 43A.11.
Subp. 14a. Discrimination.
"Discrimination" means unequal treatment, intentional or unintentional, that is based on the following protected characteristics: race, color, creed, sex, age, marital status, national origin, disability, reliance on public assistance, religion, political affiliation, membership or activity in a local commission, or sexual orientation.
Subp. 15. Dismissal.
"Dismissal" means the termination of employment for cause.
Subp. 15a. Disparity.
"Disparity" means the employment of fewer disabled persons, minorities, or women in the agency's work force than could reasonably be expected, based on their availability in the relevant labor area.
Subp. 16. Eligible.
"Eligible" means any person whose name is on a register.
Subp. 17. Emergency employee.
"Emergency employee" means an employee who was appointed to perform certain duties when an emergency situation exists.
Subp. 18. Employee.
"Employee" means any person in the employ of a county board, local social services agency, or human services board, exclusive of its members, who occupies a position covered by chapter 9575 and who is paid a salary or wage.
Subp. 18a. Equal employment opportunity.
"Equal employment opportunity" means the policy of basing all personnel activities solely on individual merit of applicants and employees in relation to job requirements, and without regard to race, color, creed, sex, age, marital status, national origin, disability, reliance on public assistance, religion, political affiliation, membership or activity in a local commission, or sexual orientation.
Subp. 18b. Equitable compensation relationship.
"Equitable compensation relationship" means that a primary consideration in establishing, recommending, and approving total compensation is comparable work value in relationship to other employee positions within the merit system.
Subp. 19. Exclusive representative.
"Exclusive representative" has the meaning given in Minnesota Statutes, section 179A.03, subdivision 8.
Subp. 20.
[Repealed, 23 SR 2404]
Subp. 20a. Female-dominated class.
"Female-dominated class" means any class in which 70 percent or more of the members are female.
Subp. 21. General adjustment.
"General adjustment" means an annual merit system recommended salary adjustment based on a review of adjustments to salaries by employers with similar and competing types of employment and trends in the Twin Cities consumer price index. The general adjustment applies to all employees on the professional, support, clerical, and maintenance and trades salary schedules whose positions are not covered by the terms and conditions of a collective bargaining agreement.
Subp. 22. Intermittent employee.
"Intermittent employee" means an employee who works whenever needed or on a schedule that cannot be predicted in advance.
Subp. 23. Layoff.
"Layoff" means the termination of employment because of abolishment of a position, lack of funds, shortage of work, or other reason beyond the control of the employee.
Subp. 24. Layoff list.
"Layoff list" means a list of permanent or probationary employees who have been laid off by reason of abolishment of their positions, lack of funds, shortage of work, or other reason beyond the control of the employee.
Subp. 24a. Male-dominated class.
"Male-dominated class" means any class in which 80 percent or more of the members are male.
Subp. 25. Merit increase.
"Merit increase" means an increase given to an employee based on meritorious job performance.
Subp. 26. Military leave.
"Military leave" means a leave of absence granted by state law to employees entering active duty in the armed forces of the state of Minnesota or of the United States of America.
Subp. 27. Minimum qualifications.
"Minimum qualifications" means the requirements of training and experience necessary to qualify for a given class.
Subp. 28. Original appointment.
"Original appointment" means the date of initial entry to probationary status normally through appointment from an open competitive list.
Subp. 29.
[Repealed, 23 SR 2404]
Subp. 30. Permanent employee.
"Permanent employee" means an employee who has successfully completed a probationary period or who has attained permanent status upon the installation of the merit system. The permanent designation means that the employee has achieved a status entitling that employee to the benefits, rights, privileges, and obligations conferred by this chapter but the designation is not a guarantee of lifetime or career employment with the appointing authority.
Subp. 31. Position.
"Position" means a group of current duties and responsibilities assigned or delegated by competent authority requiring the full-time or part-time employment of one person.
Subp. 32. Probationary employee.
"Probationary employee" means an employee who is serving a probationary period in a class to which the employee has been appointed from an eligible list.
Subp. 33. Probationary period.
"Probationary period" means the working trial period during which a new employee is required to demonstrate fitness for the position to which the employee is appointed by actual performance of the duties of the position.
Subp. 34. Promotion.
"Promotion" means a change of an employee from a position in one class to a position in another class with more responsible duties and a higher salary range.
Subp. 34a. Protected groups.
"Protected groups" means females, disabled persons, and members of the following minorities: Black, Hispanic, Asian, Pacific Islander, American Indian, or Alaskan native.
Subp. 35. Provisional employee.
"Provisional employee" means an employee who meets the minimum qualifications for the position but who has been appointed to a position without having been appointed from an eligible register.
Subp. 36. Reallocation.
"Reallocation" means the reclassification of a position resulting from significant changes in the duties and responsibilities of the position that occur gradually over a period of time.
Subp. 37. Reclassification.
"Reclassification" means a reallocation or change in allocation of a position to a higher, lower, or equivalent class.
Subp. 38. Reemployment list.
"Reemployment list" means a list of former permanent or probationary employees who have been laid off and the names of former permanent or probationary employees who have voluntarily separated from merit system employment in good standing and whose applications for reemployment in the merit system are submitted within one year of separation.
Subp. 39. Register.
"Register" means an officially established list of eligibles for a particular class.
Subp. 40. Resignation.
"Resignation" means the termination of employment made at the request of the employee.
Subp. 41. Salary adjustment.
"Salary adjustment" means an increase given to employees due to cost-of-living factors, going rates for similar jobs, or labor market conditions.
Subp. 42. Salary increase.
"Salary increase" means an increase granted to an employee on the basis of working out of class or due to unusual employment conditions and not based on job performance, cost-of-living factors, going rates for similar jobs, or labor market conditions.
Subp. 43. State agency.
"State agency" means the Department of Human Services.
Subp. 44. Supervisor.
"Supervisor" means the merit system supervisor.
Subp. 45. Suspension.
"Suspension" means an enforced leave of absence with or without pay, for disciplinary purposes or pending investigation of charges made against an employee.
Subp. 46. Temporary employee.
"Temporary employee" means an employee who is appointed with a definite ending date.
Subp. 47. Transfer.
"Transfer" means the movement of a probationary or permanent employee from a position in one class to another position in the same class in the same or different county agency or to a position in a different class in the same or different county agency that has a salary range within one step of the former class and similar comparable work value and that meets the requirements of part 9575.0850.
Subp. 47a. Unclassified position.
"Unclassified position" is a position designated as not being classified under the merit system pursuant to part 9575.0680, subpart 5.
Subp. 48. Veteran.
"Veteran" means every person defined as a veteran by Minnesota Statutes, section 197.447.
Subp. 49. Veterans preference.
"Veterans preference" means preference granted to veterans by Minnesota Statutes, section 43A.11.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; 10 SR 1507; 14 SR 1008; 15 SR 452; 16 SR 2054; 18 SR 2277; L 1994 c 631 s 31; 22 SR 45; 23 SR 2404
Minn. R. 9575.0020 Objectives of County Welfare Merit System
It is the aim of the Department of Human Services of the state of Minnesota, through the establishment of the county welfare merit system, to provide appointing authorities with an effective system of personnel administration based on merit principles. Specific objectives are:
A. economy and effective service in the Minnesota welfare and human services program;
B. the proper classification of positions so that positions essentially alike in duties and responsibilities are treated alike and positions not so alike are treated with due consideration to the nature and extent of the differences between them;
C. fair and equal opportunity for all qualified persons to compete for positions and promotions under the jurisdiction of the merit system solely on the basis of merit and fitness as ascertained through practical examinations;
D. equitable pay scales for the various classes established on the basis of equal pay for work of equal value; and
E. an attractive career service in public welfare and human services employment within the state of Minnesota.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; 14 SR 1008
Minn. R. 9575.0030 Statutory Authority
In order to accomplish the objectives stated in part 9575.0020, chapter 9575 has been promulgated by the commissioner of human services in accordance with Minnesota Statutes, sections 256.01, subdivision 4; 256.012; and 393.07, subdivision 5; and in compliance with Minnesota Statutes, chapter 14.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58
Minn. R. 9575.0040 Amendments
The commissioner of human services, with the advice and recommendations of the council, may amend chapter 9575 after compliance with the provisions of Minnesota Statutes, chapter 14.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58
Minn. R. 9575.0050 Editing the Rules
Prior to issuing or reissuing sections of the merit system rules, the supervisor shall edit the rules and make the following, and only the following, changes:
A. to correct spelling or typographical errors;
B. to correct grammatical construction, but such changes shall not alter the interpretation, intent, or purpose of the rule;
C. to correct exact quotations of statutes that are clearly identified by enclosure in quotation marks and by citation of statutory reference, when enactment of statutory amendments makes such action necessary to make the quotations true and accurate; and
D. to renumber rules or rule references as necessary because of adoption of new rules or abolition of existing rules by the commissioner after proper notice and hearing. Such changes shall not be deemed to be amendments to the rules, and each shall be reported to the commissioner before release of the material. Any changes not approved by the commissioner shall be excluded from the material to be released.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0060 Positions Covered by These Rules
These rules shall apply to all positions and employees in these positions engaged in the administration of community social service or income maintenance programs funded in whole or in part by federal grants-in-aid requiring a merit system of personnel management under the jurisdiction of appointing authorities except duly appointed or elected members of these boards, all employees of institutions, sanatoria, and hospitals under the jurisdiction of such boards, and the director of community social services. These rules shall be applicable to such positions until such time as the counties adopt and maintain rules affecting classification and compensation, examination, and certification of eligibles and other personnel standards acceptable to the commissioner.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0070 Violations
Subpart 1. By employees.
Violations of any of the provisions of this chapter by an employee in the service shall be considered sufficient cause for the dismissal of that employee.
Subp. 2. By an appointing authority.
Violations of this chapter by an appointing authority shall be brought to the attention of the appointing authority by the supervisor. The notice shall include remedial measures necessary to correct past violations and to ensure future compliance. If the appointing authority refuses to take corrective action, the supervisor shall inform the commissioner who shall deny or suspend payment of all or part of state and federal administrative reimbursement funds, suspend services from the merit system, or require that other corrective action be taken.
Subp. 3. Appeals.
An appointing authority may appeal any denial or suspension of administrative reimbursement to the merit system council which shall, after a review of the record available to the commissioner, make its recommendation to the commissioner. The commissioner's decision shall be final.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0080 Political Activity
Subpart 1. Prohibitions.
No employee shall use his or her official authority or influence for the purpose of interfering with or affecting the result of an election or nomination for office.
No employee shall directly coerce, attempt to coerce, command, or advise a merit system employee to pay, lend, or contribute anything of value to a party, committee, organization, agency, or person for political purposes.
No employee shall be a candidate in a partisan election for any public office or for any political party office which is obtained through a partisan election.
Subp. 2. Federal restrictions.
An employee continues to be covered by the federal Hatch Act restrictions including all restrictions listed in subparts 1 to 3 while on annual leave, sick leave, leave without pay, or administrative leave. Any employee shall resign from the service upon filing as a candidate for public office, except as provided in subpart 3.
All prohibitions of political activity provided in the federal Hatch Act apply to employees under the merit system.
Subp. 3. Nonpartisan elections.
Any employee may be a candidate in nonpartisan elections. These are elections in which none of the candidates is to be nominated or elected as representing a political party whose candidates for presidential election received votes in the last presidential election.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0090 Prohibition Against Discrimination
Subpart 1. In general.
No person shall be discriminated for or against in recruitment, examination, appointment, tenure, compensation, classification, or promotion or in conditions, facilities, or privileges of employment because of race, color, political affiliation, creed, religion, national origin, disability, age, marital status, status with regard to public assistance, sex, membership or activity in a local commission, or sexual orientation. Any person aggrieved by a violation of these prohibitions may file a complaint under Minnesota Statutes, chapter 363, or may file a discrimination complaint under the county agency's internal complaint process.
Subp. 2.
[Repealed, 14 SR 1008]
Subp. 2a. Affirmative action plan.
Each county agency shall have an affirmative action plan for employees covered by parts 9575.0010 to 9575.1580. The plan must contain:
A. a policy defining and prohibiting discriminatory harassment, including sexual harassment;
B. an internal discrimination complaint policy and procedure that includes notification of the Department of Human Services Office for Equal Opportunity, Affirmative Action and Civil Rights of complaints that are brought and their resolution;
C. provision for appointment of a person to provide liaison between the county agency and the Department of Human Services Office for Equal Opportunity, Affirmative Action and Civil Rights and to have responsibility for implementation of the local agency's plan;
D. provision for notification of the Department of Human Services Office for Equal Opportunity, Affirmative Action and Civil Rights of periodic hiring goals established by the county agency, for expanded certification purposes; and
E. provision for compliance with Title I of the Americans with Disabilities Act of 1990, which prohibits discrimination against disabled employees or job applicants. These requirements may be incorporated as part of a countywide affirmative action plan or provided as an addendum to the plan.
Subp. 3.
[Repealed, 14 SR 1008]
History
- Statutory Authority: MS s 256.012
- History: 14 SR 1008; 18 SR 2277; 26 SR 811
Minn. R. 9575.0100 Duties and Powers of the Commissioner
The commissioner of human services shall have authority to require methods of administration which are necessary for compliance with requirements of the Federal Social Security Act, as amended, and for the proper and efficient operation of all welfare programs. The adoption of methods relating to the establishment and maintenance of personnel standards on a merit basis for all employees in positions covered by chapter 9575 and the examination thereof, and the administration thereof, shall be directed and controlled exclusively by the commissioner of human services pursuant to Minnesota Statutes, sections 256.012 and 393.07. Nevertheless, the commissioner of human services shall exercise no authority in the selection, tenure of office, and compensation of a specific individual employed in accordance with these methods.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58
Minn. R. 9575.0110 Organization of the Merit System Council
Subpart 1. Members.
The merit system council members shall be appointed by the governor from a panel of names submitted by the commissioner of human services. The council shall be composed of three members who shall be public-spirited persons of recognized standing and of known interest in the improvement of public administration and in the impartial selection of efficient government personnel. No member shall have held political office or have been an officer in a political organization during the year preceding appointment, or during the term of the appointment. No member of the council shall have been an employee of the state agency or an employee or member of an appointing authority within one year prior to appointment.
Subp. 2. Terms.
Members of the council shall serve for a term of three years or until successors have been appointed. A member appointed to fill a vacancy occurring prior to the expiration of a term shall be appointed for the remainder of such term.
Subp. 3. Chair.
The council shall elect a chair from its membership. Such term shall be for a two-year period. The election of a chair shall be considered every other year at the first meeting of the new year.
Subp. 4. Duties of supervisor.
The supervisor shall serve as secretary of the council. The supervisor shall keep a calendar of all business to be transacted at each meeting, issue notices of regular and special meetings, present to the council all matters that require consideration by the council, keep records and files of the council and minutes, and handle other matters as the council may direct or circumstances indicate as necessary and proper in order to facilitate and give effect to the actions of the council within the scope of its powers and duties.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; 17 SR 1279
Minn. R. 9575.0120 Meetings of the Council
Subpart 1. In general.
Meetings of the council shall be held as often as necessary and practicable, upon the call of the chair, or of the commissioner. The commissioner shall have the right to be represented at all meetings of the council, but such representation shall be without voting power. The council shall adopt procedures for the conduct of its activities.
Subp. 2. Quorum.
Two members shall constitute a quorum for the transaction of business at any meeting, and the concurrence of two members shall be necessary to make any action effective.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0130 Duties of the Merit System Council
It shall be the duty of the council within the scope of this chapter:
A. to establish general policies for the administration of merit examinations and the hearing of personnel appeals as provided in parts 9575.1150 to 9575.1200;
B. to hear such appeals or to appoint an appeal board of three members or to appoint a referee to hear such appeals on its behalf;
C. to consult with the commissioner of human services about the appointment of a full-time merit system supervisor;
D. to consult with the supervisor in formulating procedures for the purpose of ensuring conformity with the rules and the policies of the council;
E. to review the classification and compensation plans and to make recommendations to the commissioner about their adoption and subsequent revision;
F. to make recommendations to the commissioner about internal personnel policies to ensure conformity with the rules;
G. to promote public understanding of the purposes, policies, and practices of the merit system; and
H. to review and make recommendations to the commissioner about any amendments to the rules of the merit system.
History
- Statutory Authority: MS s 256.012
- History: L 1983 c 654 art 5 s 58
Minn. R. 9575.0140 Compensation of Council Members
Each member of the council shall be paid $50 per regular meeting, but no member shall be paid more than $600 in any one calendar year for regular meetings. Each member of the council shall be paid $50 per day when serving on an appeal or hearing board. In addition, members whose residence is in excess of 50 miles from the place of meeting shall be compensated for travel expenses and, in an instance in which the meeting is scheduled for more than one day or when the hour of the beginning of the meeting, or the close of the meeting, does not allow coming from or returning to the place of residence within a reasonable time, for lodging and meals.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0150 Appointment of the Merit System Supervisor
The commissioner, after consultation with the council, shall appoint a merit system supervisor in accordance with Minnesota Statutes, chapter 43A, and the rules of the Minnesota Department of Management and Budget. The supervisor shall be a person who has had training and experience in a field related to merit system administration and who has known sympathies with the merit principle in government service and shall possess such other qualifications as are requisite for the performance of the duties defined in part 9575.0160. Within three years prior to appointment, the supervisor shall not have held, nor during the term of office shall the supervisor hold, political office or office in any political organization.
History
- Statutory Authority: MS s 256.012
- History: L 2008 c 204 s 42; L 2009 c 101 art 2 s 109
Minn. R. 9575.0160 Duties of the Supervisor
In conformance with this chapter, it shall be the duty of the supervisor to:
A. Develop and put into continuous effect policies and procedures for the administration of the merit system program as they relate to the preparation, administration, and scoring of examinations; the preparation, custody, and maintenance of registers of eligibles; the determination of availability to eligibles for appointment; the certification for appointment; and the determination of the adequacy of existing registers.
B. Develop the classification and compensation plans and consult with the council on the adoption and revision of such plans as they relate to the merit system program of recruitment and examination.
C. Promote public understanding of purposes, policies, and practices of the merit system program.
D. Appoint staff members, including technicians, clerks, stenographers, and other permanent or temporary employees who are necessary to carry out the provisions of chapter 9575. Employees shall be chosen in accordance with the provisions of the Minnesota Department of Management and Budget rules.
E. Review, develop, and propose amendments to existing merit system rules for consideration and recommendation by the merit system council and in accordance with the provisions of Minnesota Statutes, chapter 14.
F. Perform other duties which are prescribed by this chapter.
History
- Statutory Authority: MS s 256.012
- History: L 2008 c 204 s 42; L 2009 c 101 art 2 s 109
Minn. R. 9575.0300 Preparation and Adoption
Subpart 1. Preparation of plan.
In accordance with the Administrative Procedure Act, the commissioner shall formally adopt and make effective a comprehensive compensation plan including minimum and maximum salary rates as published in part 9575.1500, and recommended intervening steps as published in the Human Services Merit System Manual, as amended through May 29, 1982, for all classes of positions. The plan shall apply to all agencies covered by the merit system except as otherwise negotiated for employees in a bargaining unit in agencies where there is an exclusive representative or in those instances where the requirements of part 9575.0350, subpart 2, item C, have been satisfied. The plan shall include salary ranges for the various classes, with the salary of each class consistent with the functions outlined in the class specifications. Minimum, intervening, and maximum rates of pay for each class shall be established to provide for salary advancement without change in duty, in recognition of meritorious service. The advice and suggestions of appointing authorities, prevailing salary rates for similar and competing types of employment in business and government, and other relevant factors shall be taken into consideration in developing the salary schedules. Equitable compensation relationships shall be established between female-dominated classes, male-dominated classes, and balanced classes of employees in accordance with Minnesota Statutes, sections 471.991 to 471.999. Classes shall be evaluated in order to determine comparable work value and to establish equitable compensation relationships between classes of positions.
Subp. 2. Review by council.
The proposed compensation plan, and any amendments to it, shall be submitted to the merit system council for review and recommendation. Upon review and recommendation by the council and after compliance with Minnesota Statutes, chapter 14, Administrative Procedure Act, the commissioner shall formally adopt the compensation plan which shall be the official salary schedule of the Minnesota merit system, effective the date specified.
Subp. 3. Salary plans and salary rates.
The comprehensive compensation plan adopted by the commissioner shall provide for a single salary schedule for each occupational grouping of classes including professional, support, clerical and maintenance, and trades classes. The plan shall be established as provided in subpart 1 with minimum and maximum salaries for each class as provided in part 9575.1500. The plan shall be the official plan for all appointing authorities until amended.
History
- Statutory Authority: MS s 256.012
- History: 10 SR 1507; 15 SR 452
Minn. R. 9575.0310 Selection of Salary Ranges by Appointing Authority
Subpart 1.
[Repealed, 15 SR 452]
Subp. 2. Selection of rates.
Within the minimum and maximum salaries for classes on the salary schedules for each occupational grouping of classes, appointing authorities shall designate, by resolution, the minimum, intervening and maximum salary rates to be paid for each class of positions used by the appointing authority. The supervisor shall be promptly notified of the rates selected by each appointing authority.
Subp. 3. Plan amendments.
The appointing authority may amend, by resolution, the minimum, intervening, and maximum salary rates to be paid for any class of positions used by the appointing authority. The supervisor shall be promptly notified of the official action taken by the appointing authority to amend its plan.
Subp. 4. Incumbents.
Salary rates for incumbents of positions shall be established in accordance with the provisions of part 9575.0350, subparts 2 and 3, on the basis of the comprehensive compensation plan provided in part 9575.0300, subpart 3.
Subp. 5. Nonrepresented employees.
In agencies with an exclusive representative, the appointing authority may pay confidential, supervisory, and other personnel not covered by an exclusive representative who are in the same class as employees who have an exclusive representative, the same rate of pay and salary range as negotiated for the class under part 9575.0330, subpart 1. In no case would this rule allow the appointing authority to reduce the rate of pay of confidential, supervisory, or other excluded employees.
History
- Statutory Authority: MS s 256.012
- History: 15 SR 452
Minn. R. 9575.0320 Adjustment of Official Salary Schedule of the Minnesota Merit System
Subpart 1. Annual adjustments.
The compensation plan provided in part 9575.1500 shall be adjusted annually to reflect changes in the level of salary rates in business and government for similar and competing types of employment and to achieve equitable compensation relationships between classes of positions based on their comparable work value.
Subp. 2.
[Repealed, 12 SR 1335]
Subp. 3. Plan amendments.
After a review of changes in the level of salary rates and consideration of available information regarding trends in the Twin City Consumer Price Index, the supervisor shall propose amendments to the compensation plan in accordance with Minnesota Statutes, chapter 14, the Administrative Procedure Act, and as outlined in part 9575.0300. Amendments shall include a proposed general adjustment to all rates of pay in the professional, support, clerical, and maintenance and trades salary schedules and specific comparability adjustments to all rates of pay for certain classes, as necessary, to correct compensation inequities based on comparable work value. The amended compensation plan shall be effective on the following January 1 or, for those agencies on a biweekly or four week payroll period, on the beginning date of the first payroll period after the following January 1.
Subp. 3a. Employee salary adjustments.
Based on an annual review of adjustments to salary levels by employees with similar and competing types of employment and trends in the Twin City Consumer Price Index, the supervisor shall recommend a general salary adjustment for all employees on the professional, support, clerical, and maintenance and trades salary schedules whose positions are not covered by the terms and conditions of a collective bargaining agreement. The recommended general salary adjustment shall be proposed in accordance with Minnesota Statutes, chapter 14, the Administrative Procedure Act, in an amount as provided in part 9575.0350, subpart 3. The adopted salary adjustment shall be effective on the following January 1 or, for those agencies on a biweekly or four week payroll period, on the beginning date of the first payroll period after the following January 1.
Subp. 4.
[Repealed, 12 SR 1335]
Subp. 5. Plan adjustments.
The appointing authority may implement an adjusted compensation plan by adjusting the salaries of the employees to the same numerically designated salary rate on the adjusted plan that the employees were paid under the former plan.
Subp. 6.
[Repealed, 12 SR 1335]
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; 10 SR 1507; 12 SR 1335
Minn. R. 9575.0330 Negotiation of a Salary Schedule
Subpart 1. Role of exclusive representative.
In those agencies where employees have elected an exclusive representative the appointing authority and the exclusive representative may negotiate their own salary schedules for employees in the bargaining unit by class, with the salary for each class consistent with the functions outlined in the class specifications. Minimum, intervening, and maximum rates of pay for each shall be established to provide for steps in salary advancement without change of duty, in recognition of meritorious service. When a new classification not previously used in the agency is established in the middle of the contract period and such class falls within the bargaining unit and no provision exists in the contract for establishing such salaries, the appointing authority and the exclusive representative shall negotiate a salary schedule for the new classification within 60 days of the date of establishment of the classification.
Subp. 2. Filing.
A complete copy of the negotiated salary schedule must be filed with the supervisor within ten days after the signing of the contract or agreement. If the contract or agreement calls for succeeding increases in the salary schedule which change the original minimum and maximum salaries or intervening steps a new adjusted salary schedule must be filed with the supervisor within ten days after the effective date of any such succeeding adjustment.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0340 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.0350 Salary Adjustments and Increases
Subpart 1. Availability of funds.
Before salary increases and adjustments are made according to parts 9575.0300 to 9575.0370, or according to a negotiated collective bargaining agreement, the appointing authority shall have in its records and carry in its minutes a definite statement that funds for this purpose are available.
Subp. 2. Plan requirements.
In agencies where there is no exclusive representative or collective bargaining agreement, negotiated adjustments in the rates of pay of incumbents of positions, in order to conform to a newly adopted or currently effective compensation plan, shall be in accordance with the following provisions:
A. If the rate of pay of an employee is below the minimum of the range prescribed for the employee's classification on the merit system compensation plan, the rate shall be adjusted to that minimum.
B. If the rate of pay of an employee is at or above the new minimum salary adopted for their class, the employee may receive the general merit system adopted adjustment, and if the employee's class was adjusted to a greater extent than the general adopted adjustment, the employee may receive the additional adjustment as provided in part 9575.0320, subpart 3 as long as the additional adjustment does not place the employee's salary over the new maximum adopted salary for the class.
C. In those situations where the appointing authority has determined that the general merit system adopted adjustment is inappropriate for its employees, it may grant a different adjustment; however, the authority must file with the supervisor the new salary steps by class. These adjustments shall at least place employees at the minimum salary and not over the maximum salary for their class.
D. Employees at the maximum salary for their class may be granted salary adjustments over the maximum salary prescribed for their class, only if such a merit system adjustment is adopted and only in the amount adopted for incumbents of that class.
E. If the rate of pay of an employee is higher than the maximum of the range prescribed for the employee's class of positions, the rate may remain the same as long as the employee retains the same classification.
F. If the rate of pay of an employee falls between the minimum and maximum of the salary range prescribed for the employee's class but does not correspond to any intervening steps in the range, due to the adoption of merit system general adjustment, such rate may remain the same. In the case of subsequent merit increases, the employee shall be placed back on a step in the adopted salary range for his or her class.
G. Employees at or above the maximum salary rate for their class may be granted a salary adjustment only in the amount adopted by the merit system for all employees whose positions are not covered by the terms and conditions of a collective bargaining agreement. If an appointing authority wishes to grant a larger general adjustment to its employees than that adopted by the merit system, the appointing authority, by prior resolution, may grant that employee the annual equivalent of the difference between the merit system adopted adjustment for all employees and the agency adopted adjustment for its employees in the form of a single lump sum payment or lump sum salary payments commencing on the effective date of the general adjustment. The employee's base salary rate shall be equal to the employee's salary before the agency adjustment plus the merit system adopted adjustment.
H. An appointing authority may grant a salary increase within the salary range to an employee based upon unusual employment conditions that make the action necessary and the interests of the agency that will be served by the action. In granting this increase, the appointing authority shall give due consideration to the salary rates paid other employees in the same classification and shall not grant an increase that does not ensure equitable compensation for comparable work. Salary increases proposed according to this part are not based on employee performance or a general merit system adopted salary adjustment. The granting of such an increase shall not affect the employees' eligibility for subsequent merit increases or salary adjustments in accordance with merit system rules. If the unusual employment conditions giving rise to such an increase are of a temporary nature, the employee's salary shall be decreased to its previous level upon conclusion of those conditions. This decrease is not subject to part 9575.0370 or 9575.1180.
Subp. 3. Recommended adjustment.
The merit system general adjustment recommended for incumbents is three percent for employees on the professional, support, clerical, and maintenance and trades salary schedules.
Subp. 4. Salary differentials.
Intra-agency salary differentials between employees in the same class of positions, between employees in different classes of positions in the same occupational field, and between occupational fields in the same agency are recognized as important factors in the maintenance of satisfactory morale. If the general adjustments result in the reduction of the differential between employees in the same class of positions or between employees in different classes of positions in the same occupational field, adjustments may be made that will, insofar as practicable, maintain such differentials within the limits of the new plan. In maintaining such differentials, the appointing authority shall take into consideration the length of service and quality of performance of the employees affected.
Subp. 5. Collective bargaining agreements.
In agencies where there is an exclusive representative and a negotiated salary schedule for employees in the bargaining unit, adjustments in the rates of pay of employees shall follow the wording of the contract or agreement.
History
- Statutory Authority: MS s 256.012
- History: 8 SR 1352; 9 SR 1339; 10 SR 1507; 11 SR 1075; 12 SR 1335; 14 SR 1806; 15 SR 452; 16 SR 2054; 17 SR 1829; 18 SR 2277; 19 SR 2090; 20 SR 2592; 22 SR 45; 23 SR 82; 23 SR 2404; 25 SR 556; 26 SR 811
Minn. R. 9575.0360 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.0370 Salary Decreases
Subpart 1. In general.
Except as otherwise negotiated by an agency and the exclusive representative, a salary decrease within the range prescribed for the class may be made only for just cause. A permanent employee shall be notified of the intent to effect a reduction in pay and the reasons for the action at least ten calendar days prior to the date on which the reduction becomes effective. A copy of the notice shall be sent to the supervisor. A permanent employee whose salary is reduced may request a hearing as provided in part 9575.1180.
Subp. 2. Exemption.
Collective bargaining agreement provisions whereby a salary adjustment or salary increase is negotiated for a set period of time do not fall within the provisions of subpart 1.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0380 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.0400 Physical Examinations
After a conditional job offer has been extended, an applicant may be required by the appointing authority to pass a medical examination. The examination may be required for job-related reasons only.
History
- Statutory Authority: MS s 256.012
- History: 23 SR 82
Minn. R. 9575.0410 Applications
Subpart 1. Forms and filing.
All applications shall be made on forms prescribed by the supervisor and must be filed on or before the closing date specified in the announcement. On such applications the supervisor shall require all pertinent information pertaining to education, experience, and any other information that the supervisor may deem necessary. All applications shall be signed and the truth of all statements contained therein certified by such signature.
Subp. 2. Hard-to-fill positions.
In those classes of positions in which there is difficulty in obtaining qualified eligibles, the supervisor may establish a program that will be both positive and continuous. Under such a plan, applications may be accepted at any time and examinations held whenever applicants have filed in sufficient numbers to ensure adequate competition.
History
- Statutory Authority: MS s 256.012
- History: 23 SR 82
Minn. R. 9575.0420 Disqualification of Applicants
The supervisor may refuse to examine an applicant, or after examination, may disqualify the applicant or remove the applicant from a register, or may refuse to certify any eligible person on a register if the applicant:
A. is found to lack any of the preliminary requirements established for the examination for the class of positions;
B. has been convicted of any crime which has a direct relationship to the position sought in accordance with Minnesota Statutes, chapter 364;
C. has been dismissed from the public service or any other position for delinquency or misconduct, or, in lieu of dismissal, has been allowed to resign from employment;
D. has practiced or attempted to practice any deception or fraud in the applicant's application, examination, or appointment;
E. has used or attempted to use political pressure or bribery to obtain an advantage in the examination or appointment;
F. has directly or indirectly obtained information about the examinations to which applicants are not entitled;
G. has failed to submit the application for examination correctly or within the prescribed time limits;
H. has taken part in the compilation, administration, or correction of the examination;
I. has otherwise violated provisions of these rules; or
J. is not available in an area under the jurisdiction of the merit system. A disqualified applicant shall be promptly notified of such action, and an applicant who is not admitted to an examination because of failure to meet the preliminary requirements shall be notified by letter mailed to the applicant's last known address sufficiently in advance of the examination to allow for an appeal from rejection as provided in parts 9575.1150 to 9575.1200.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279; 23 SR 82
Minn. R. 9575.0450 Character of Examinations
Subpart 1. In general.
Examinations for entrance into the public welfare and public safety merit systems shall be conducted on a competitive basis. Examinations shall be practical in nature, shall be constructed to reveal the capacity of the applicant for the particular position for which the applicant is competing, as well as the applicant's general background and related knowledge, and shall be rated objectively.
The supervisor shall determine the content of all examination processes which shall include: performance tests, written examinations, ratings of experience and training, promotional ratings, or oral examinations.
Subp. 2. Weight assigned to parts.
The supervisor shall assign definite weights to each part of the examination prior to its public announcement.
Subp. 3. Positions for disadvantaged groups.
Recruitment and selection for those positions identified in the minimum qualifications of the class specification as directed toward clients and other disadvantaged groups will be limited to persons of low income or low educational achievement, including the physically and mentally disabled. It will be the specific responsibility of the individual appointing authorities to effectively make known opportunities for these jobs to such persons. Persons who do not meet these limitations will be disqualified from competition for these positions and notified of the reasons therefor. Examinations for these positions will include at least one of the following: performance test, oral examination, written test, or oral directions test combining aspects of performance and minimum literacy. The supervisor shall assign a definite weight to each part of the examination prior to its public announcement. Eligible lists will be established on an area or county basis only. Certification of eligibles on an area basis smaller than the county unit may be approved by the supervisor. Because these positions cover a broad range of duties requiring many different abilities, knowledges, and basic skills, notwithstanding other provisions of this chapter, the supervisor also may approve selective certification of eligibles who possess a particular ability, knowledge, or skill.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0460 Notice of Examination
The supervisor shall announce all examinations for original entrance into the public welfare and public safety merit systems at least two weeks in advance of the closing date for receipt of applications, and shall make every reasonable effort to attract qualified persons to compete in these examinations. Notice of examinations shall be posted in important centers throughout the state, and copies shall be distributed among appointing authorities throughout the state, newspapers, public officials, educational institutions, professional and vocational societies, and such other organizations and individuals as the supervisor may deem expedient. Public announcement of examinations shall specify the title and salary ranges of the class of positions, the duties to be performed, the minimum qualifications required, the final date on which applications will be received, and all other conditions of competition, including the relative weights assigned to the various parts of the examination.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0470 Conduct of Examinations
Subpart 1. Place; monitors.
Written tests shall be conducted simultaneously in as many places as are necessary for the convenience of the applicants and as are practicable for proper administration. The supervisor may designate such monitors as may be necessary to conduct examinations under instructions prescribed by the supervisor and may also arrange for the use of public buildings in which to conduct the examinations. The supervisor shall provide for the compensation of monitors in accordance with the approved budget for the purpose.
Subp. 2. Refusal to score.
The supervisor shall refuse to score the examination of an applicant who copies another applicant's examination paper, or falsifies an identity to gain admittance to the examination, or who otherwise meets the criteria for disqualification as provided for in part 9575.0420.
Subp. 3. Examination modification for applicants with disabilities.
Special examination arrangements must be made for qualified applicants with disabilities if the usual selection process cannot adequately predict job performance unless: (1) the test or other selection criteria are shown to be job related; or (2) alternative or equally job-related tests or selection criteria with the same or less adverse impact are not shown to be available. Examination facilities or procedures may be modified to accommodate applicants with disabilities to provide for comparable assessment of essential job skills.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279; 23 SR 82
Minn. R. 9575.0480 Rating Examinations
Subpart 1. Determination of score.
The supervisor shall determine a final score for each applicant's examination, computed in accordance with the weights for the several parts established by the supervisor as set forth in the announcement. Failure in any part of an examination shall disqualify the applicant in the entire examination. All applicants for the same position shall be accorded uniform and equal treatment in all phases of the examination procedure.
Subp. 2. Determination of passing point.
The supervisor shall utilize appropriate scientific techniques and procedures in rating the results of examinations and in determining the final scores of the applicants. The supervisor shall establish reasonable passing points for all examinations, giving due regard to the number of vacancies that may reasonably be expected to occur during the life of the register.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0490 Rating Training and Experience
When training and experience form a part of the total examination, the supervisor shall determine a procedure for the evaluation of the training and experience qualifications of the various applicants. The formula used in appraisal shall give due regard to recency and quality, as well as quantity, of experience and to the pertinency of the training. This procedure shall allow for the substitution of training for experience, and experience for training, within the limits stated in the class specifications.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0500 Oral Examination
When an oral examination forms a part of a total examination for a class of positions, the supervisor shall select one or more oral examination boards as needed. An oral examination board shall consist of two or more members who shall be known to be interested in the improvement of public administration and in the selection of efficient government personnel and at least one of whom shall be technically familiar with the character of work in the position for which the applicant will be examined. Any person holding political office or any officer or committee member of any political organization, or any person actively engaged in the work of any political organization, shall not serve as a member of a board. If practicable, all applicants qualifying for the oral examination for the class of positions shall be rated by the same oral examination board. A member of an oral examination board shall disclose each instance in which the member knows the applicant personally and, in those instances, the supervisor shall determine whether the oral examination board member shall rate that applicant.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0510 Notice of Examination Results
Each applicant passing all parts of the examination shall be notified by mail by the supervisor of the final rating as soon as the rating of the examination has been completed and the register established. An eligible, upon request and presentation of proper identification, shall be entitled to information about the eligible's relative position on a register. An applicant who fails any part of the examination or the total examination shall be promptly notified of the failure.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0520 Examination Records
The supervisor shall be responsible for the maintenance of all examination records. Applications and other necessary examination records shall be kept during the life of the register. Examination records of appointees shall be kept permanently, but examination records of applicants not appointed may be destroyed 30 days after the register expires.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0530 Examination Retesting
Applicants may apply to retake a competitive or promotional examination that is open for application on a continuous basis but may not retake an examination within 60 days of the previous test date and more than three times in a calendar year.
History
- Statutory Authority: MS s 256.012
- History: 14 SR 1008
Minn. R. 9575.0550 Establishment of Registers
Subpart 1. Order of names.
After each examination the supervisor shall prepare and maintain registers of persons who attain passing scores in the examination. The names of eligible persons shall be placed on registers in the order of their final rating, beginning with the highest, except as modified by veteran's preference. If two or more persons have final ratings that are identical, their names shall be arranged on the register in the order in which their applications for examination were accepted. Remaining tie scores shall be broken by arranging names in alphabetical order.
Subp. 2. Types of registers.
Eligible registers resulting from examinations shall be of two kinds: open-competitive registers, from which original appointment shall be made; and promotional registers, from which promotions shall be made. Other registers or lists of persons eligible for appointment may be established in accordance with other provisions of these rules.
Subp. 3. Promotional registers.
Promotional registers shall consist of the names of permanent and probationary employees who attain passing scores in the examination for promotion to a class of positions.
Subp. 4.
[Repealed, 26 SR 811]
Subp. 5. Local registers.
Registers shall normally be established on a statewide basis. Nevertheless, the supervisor, with the approval of the commissioner of human services, may offer examinations on a county or area basis or may establish a county area subregister of a statewide register. Eligibility for placement on a county or area subregister shall be determined by legal residence in the county or area or, in the case of a promotional register, by employment with the local social services agency.
Subp. 6. Layoff lists.
Layoff lists shall be established by county and shall include the names of permanent and probationary employees who have been laid off from employment because of lack of funds or lack of work in accordance with the provisions of these rules. Names shall be placed on this list in reverse order of layoff.
Subp. 7. Reemployment list.
The supervisor may establish a reemployment list of the names of former permanent and probationary employees who are eligible under the rules for reinstatement to a class of positions and who apply for placement on this list. Names shall be placed on this list in the manner determined by the supervisor. All persons on such list are equally eligible for appointment, and no rank or position shall be assigned.
Subp. 8. Transfer list.
The supervisor may establish a transfer list of the names of current permanent employees who are eligible by rule to transfer to a class of positions and who apply for placement on this list. Names must be placed on this list in the manner determined by the supervisor. All persons on the list are equally eligible for appointment and no rank or position may be established.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; L 1994 c 631 s 31; 23 SR 2404; 26 SR 811
Minn. R. 9575.0560 Change of Address
Each applicant or eligible shall file with the supervisor notice of any change of address.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0570 Duration of Registers
The life of each register shall normally be one year from the date of its establishment, but this period may be reduced or extended by the supervisor with the approval of the council. In no case, however, shall a register be in existence for a period of more than three years. A register may be deemed by the supervisor to be exhausted if fewer than three available eligibles remain on it. Upon exhaustion of a register, or if the supervisor, with the approval of the council, reduces the life of a register, the supervisor shall notify each eligible remaining on such register to this effect by mail to the eligible's last known address.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0580 Removal of Names from Registers
Subpart 1. Reasons for removal.
The supervisor may remove the name of an eligible from a register for any of the following causes:
A. Appointment through certification from such register to fill a probationary appointment.
B. Appointment through certification from a register for another class whose minimum salary is either equal to or higher than the minimum salary for this class of positions; but, at the request of the appointee in such a case, the appointee's name may be continued on, or restored to, any or all registers other than the one from which the appointment was made, for the remainder of the life of such register.
C. Filing of a statement by the eligible of unwillingness to accept appointment. Such statement of unwillingness may be restricted to a limited period of time or to geographic locations or positions involving other conditions of employment, as specified. The name of the eligible shall then be treated as not available and shall be passed over in certification to fill any vacancy under the conditions specified as though such name did not appear on the register. Any eligible may file a new statement at any time notifying for future consideration any prior statement about the time, place, or other conditions under which appointment will be accepted.
D. Declining of appointment under such conditions as the eligible previously has indicated a willingness to accept.
E. Failure to respond within five days to any inquiry of the supervisor, the personnel officer, or any appointing authority relative to availability for appointment.
F. Consideration of a probationary appointment from a promotional register by three different appointing authorities, or three times by one appointing authority, and not appointed.
G. Consideration of a probationary appointment from an open-competitive register to a class of positions within the preceding two years by three different appointing authorities, or three times by one appointing authority, and not appointed.
H. Any cause specified in part 9575.0420.
Subp. 2. Notice of removal; names restored to list.
The supervisor, upon noting any declination or failure of any eligible to respond, may send a notice to the eligible of the removal of the eligible's name from the register. Such notice may include any inquiry about the reasons for such declination or failure to respond and a question as to whether the eligible is willing to accept the next appointment offered under such conditions as the eligible may specify. Upon the furnishing of reasons satisfactory to the supervisor for the declination or failure to respond, and a statement of willingness to accept appointment, the name of the eligible may be restored to the register for certification for appointment under the conditions specified. It shall be considered impossible to locate an eligible when any communication mailed to the last known address of record supplied by the eligible is not replied to within five days or is returned unclaimed, or if a telegram is not replied to within three days. It shall be known to the supervisor that an eligible is not willing to accept a position when a declination of appointment or statement of unwillingness to accept appointment is on file with the supervisor.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0600 Vacancies
Vacancies in the classified service shall be filled by reemployment, original appointment, promotion, transfer, demotion, or reinstatement.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0610 Requisition for Certification
If a vacancy in any position under an appointing authority is to be filled other than by reinstatement, noncompetitive examination, transfer, or demotion, and a new employee is needed, a requisition shall be submitted by the appointing authority to the supervisor. This requisition shall state the number of positions to be filled in each class, together with the class title and other appropriate information. In addition, desirable special qualifications for the particular position under consideration may be indicated. In requesting the certification of individuals with special qualifications, the appointing authority shall state in the request the reasons for the special qualifications requested. Eligibles shall be certified in strict order of standing on the register, except in a case in which the supervisor has determined that there is reason for a certification of an eligible with special qualifications. Requests for certification of individuals with special qualifications approved by the supervisor shall be reported to the council at its next scheduled meeting.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0620 Certification Methods
Subpart 1. Competitive register.
For positions to be filled by competitive open examination, the supervisor shall certify the 15 highest available names together with any additional names of persons having an examination rating within five points of the person on the certification with the highest examination rating, and any additional names of persons having the same examination score as that of the 15th person certified, from the open-competitive register established for the class of positions. At the option of the appointing authority, the supervisor may approve the referral of additional names so that all scores with 90 and above and scores within ten points of the highest score are referred to the appointing authority. If the number of names to refer would be so large as to preclude equitable, reliable, job-related screening, the appointing authority may request certification of fewer names, but never less than the top 15 scores, plus scores tied with the 15th and scores within five points of the highest score. Names of available eligibles from the appropriate reemployment or transfer registers, if they exist, shall also be certified as additional names.
Subp. 2. Promotional register.
For positions to be filled by competitive promotional examination, the supervisor may also certify the ten highest available names together with any additional names of persons having an examination rating within five points of the person on the certification with the highest examination rating, and any additional names of persons having the same examination scores as that of the tenth name certified, from the appropriate promotional register if such register exists and is requested. At the option of the appointing authority, the supervisor may refer additional names so that all scores with 90 and above and scores within ten points of the highest score are referred to the appointing authority. If the number of names to refer would be so large as to preclude equitable, reliable, job-related screening, the appointing authority may request certification of fewer names, but never less than the top ten scores, plus scores tied with the tenth and scores within five points of the highest score. Names of available eligibles from the appropriate reemployment or transfer registers, if they exist, shall also be certified as additional names.
Subp. 3. Certification for more than one vacancy.
If more than one vacancy exists, the supervisor shall certify at least as many names from the register as there are vacancies to be filled, together with any additional names of persons having an examination rating within five points of the person on the certification with the highest examination rating, and any additional names of persons having the same examination score as that of the last person certified on a competitive certification or as that of the last person certified on a promotional certification. At the option of the appointing authority, the supervisor may refer additional names so that all scores with 90 and above and scores within ten points of the highest score are referred to the appointing authority. If the number of names to refer would be so large as to preclude equitable, reliable, and job-related screening, the appointing authority may request certification of fewer names, but never less than the top 15 scores, plus scores tied to the 15th and scores within five points of the highest score, on a competitive vacancy; or less than the top ten scores, plus scores tied with the tenth score and scores within five points of the highest score, on a promotional vacancy.
Subp. 3a. Supplementary certifications.
Supplementary certifications will be issued only in instances in which it is found that there are fewer than 15 available candidates on the competitive certification or ten available candidates on the promotional certification.
Subp. 4. Selection for appointment.
The appointing authority may select for appointment anyone among the certified candidates who is eligible for appointment.
Subp. 5. Too few names on a certification.
When the number of different names available for filling any vacancy by original appointment, promotion, or reinstatement is fewer than seven on all competitive and promotional registers combined, the appointing authority may decline certification for that vacancy and may request certification from a register, or registers, that the supervisor deems appropriate.
Subp. 6. Provisional filling of vacancy.
If there is no register that the supervisor deems appropriate, then the vacancy may be filled provisionally as provided for in part 9575.0660.
Subp. 7. Expanded certification.
When the supervisor determines that a disparity exists between an agency's work force and its approved affirmative action plan, the supervisor shall ensure to the extent possible that available eligibles who are members of the protected group as defined in part 9575.0010, subpart 34a, for which the disparity exists are certified for appointment. When fewer than three protected group eligibles for which a disparity exists would be certified under subparts 1 and 2, the supervisor shall certify additional protected group eligibles for which a disparity exists to bring the number of eligibles certified to a total of three names from each protected group. Eligibles to be certified shall be determined by examination score.
History
- Statutory Authority: MS s 256.012
- History: 13 SR 1057; 14 SR 1008; 23 SR 2404
Minn. R. 9575.0630 County-Option Certification
The appointing authority may request from the supervisor names of eligibles from either the statewide original entrance register or from a subregister for the county, a restricted area, or a district of the state, as set forth in part 9575.0550, subpart 5. The supervisor, upon receipt of such requisition, shall refer names of eligibles from the register as requested.
If an appointing authority requests a certification of eligibles from a subregister established for a specific locality but there are insufficient eligibles thereon, certification shall be made on a statewide basis.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0650 Appointment from Registers
Subpart 1. Original appointment.
The employment of any person from a certification from an open-competitive register shall be deemed to be an original appointment. In selecting persons from among those certified by the supervisor for original appointment, the appointing authority shall be permitted to examine their applications, interview them, and check references or perform other background investigations. Final selection and the action taken on each candidate shall be reported to the supervisor in the manner prescribed by the supervisor.
Subp. 2. Promotional appointments.
Promotional appointments shall be made in the same manner as original appointments as specified in subpart 1, except that the person appointed is selected from a certification from a promotional register.
Subp. 3.
[Repealed, 26 SR 811]
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279; 23 SR 2404; 26 SR 811
Minn. R. 9575.0660 Provisional Appointment
Subpart 1. Procedure.
Whenever in the opinion of the appointing authority there are urgent reasons for filling a vacancy and the supervisor is unable to certify eligibles from a register established as a result of an examination for the position, and no appropriate promotional register or other appropriate register exists, the appointing authority may appoint a person to the vacancy on a provisional basis. If the person appointed meets the minimum qualifications for training and experience for the position, that person may be provisionally appointed to fill the existing vacancy until an appropriate register is established and appointment made from the register. No provisional appointment shall be made until the position has been allocated to a proper class and minimum qualifications established for the position in accordance with parts 9575.0650 to 9575.0700.
Subp. 2. In absence of promotional register.
In the absence of a promotional register, a provisional promotional appointment of a permanent or probationary employee meeting the minimum qualifications may be made pending the establishment of a promotional register or the administration of a noncompetitive promotional examination.
Subp. 3. Termination of provisional appointment.
The appointing authority shall terminate a provisional appointment 90 days after the supervisor provides a certification from which an appointment could be made. However, in individual cases, a provisional appointment may be extended for a period of up to six months. Successive provisional appointments of the same person shall not be permitted, and a position shall not be filled by repeated provisional appointments. Provisional appointments may be extended at the end of the six-month period with the approval of the merit system supervisor, and successive provisional appointments of the same individual to different positions and successive provisional appointments to the same position may be made in exceptional circumstances, subject to the following conditions:
A. that an examination has been publicly announced and the supervisor has found that a sufficient number of applicants are not available to assure adequate competition; and
B. that continuous receipt of applications had been provided in accordance with part 9575.0410, subpart 2, and the examination is to be held whenever the supervisor finds that enough applicants have filed to ensure adequate competition.
Subp. 4. Appointments made before establishment of a register.
All appointments made subsequent to the adoption of parts 9575.0650 to 9575.0700 but prior to the establishment of a register from which eligibles can be certified shall be considered as provisional appointments.
History
- Statutory Authority: MS s 256.012
- History: 23 SR 2404
Minn. R. 9575.0670 Emergency Appointment
Whenever an emergency exists that requires the immediate services of one or more persons and it is not possible to obtain such persons from appropriate registers, the appointing authority may appoint a person or persons without consideration of other provisions of this chapter governing appointment, except as provided in parts 9575.1410 to 9575.1450. Such appointments normally shall be limited to no more than 45 working days during any calendar year for the same person; however, such appointment of the same person can be extended to 67 working days.
History
- Statutory Authority: MS s 256.012
- History: 12 SR 458; 22 SR 45
Minn. R. 9575.0680 Temporary Appointment
Subpart 1. Justification.
An appointing authority may make a temporary appointment for:
A. filling a vacancy funded for six months or less;
B. providing an employee for a temporary project not anticipated to last more than six months;
C. filling a vacancy created by an approved leave of absence; or
D. unusual documented instances, when an appointing authority makes a temporary appointment of six months or less to a position otherwise authorized for more than six months.
Subp. 2. From eligible register.
Temporary appointments must be made from the eligible register. Certification must be made of the names of those eligible persons, in order of their place on an appropriate register, who have indicated willingness to accept temporary employment. Certification must be made according to parts 9575.0600 to 9575.0630. The acceptance or refusal of a temporary appointment does not affect an eligible person's standing on a register or eligibility for appointment to a permanent position.
Subp. 3. No available candidates on eligible register.
In the absence of available candidates on the eligible register, the appointing authority may make a direct appointment of a person who meets the minimum qualifications of education and experience for the classification, after documenting the following:
A. that there is no appropriate eligible list available or that all eligible candidates on an incomplete certification from an eligible list are unavailable or unsuitable for temporary appointment; and
B. that the appointee meets the minimum qualifications of education and experience.
Subp. 4. Term of appointment.
Temporary appointments must only be for the period of need and are limited to six months. A temporary appointment may be extended by the appointing authority for up to an additional six months. The period of the temporary appointment may not be counted as part of a probationary period. Successive temporary appointments to the same position may not be made.
Subp. 5. Temporary unclassified positions.
The supervisor, upon request of an appointing authority, may authorize the temporary designation of a position in the unclassified service. The supervisor may make this authorization only for positions which are fully anticipated to be of limited duration. No unclassified appointment may exceed three years.
Subp. 6. Trainee appointments.
An appointing authority may appoint a trainee to fill a classified position. A trainee appointment shall be for the period of training, which shall not exceed three years in duration. Trainees so appointed shall be advanced to the classification for which they are in training upon the satisfactory completion of the training program and shall then serve a probationary period in the regular classification. Trainees who advance to the classification for which they are in training must meet the minimum qualifications of education and experience before a probationary appointment can be made. A trainee appointment may be terminated at any time by the appointing authority.
History
- Statutory Authority: MS s 256.012
- History: 16 SR 2054; 22 SR 45; 23 SR 2404; 26 SR 811
Minn. R. 9575.0690 Employee's Appointment Prior to Adoption of These Parts
Subpart 1. Continuous service.
An employee on the staff of a local social services agency prior to the adoption of parts 9575.0650 to 9575.0700 by the board, with more than six months of continuous service in a classification, and who is certified by the appointing authority as having given satisfactory service since that time may be appointed to a position in the classification held on the date of adoption of this chapter without consideration of minimum qualifications of training and experience. The employee may be appointed by the appointing authority without being required to serve a probationary period.
Subp. 2.
[Repealed, 22 SR 45]
Subp. 3.
[Repealed, 22 SR 45]
Subp. 4. Probationary employee.
An employee on the staff of a county board, welfare board, or human services board prior to the adoption of parts 9575.0650 to 9575.0700 by the board, with less than six months of continuous service in a classification, shall be appointed to a position in the classification held on the date of adoption of this chapter only if the employee meets the minimum qualifications of training and experience. The employee shall serve a probationary period.
Subp. 5. New employee.
A new employee appointed after the adoption of these parts by a local social services agency but prior to the holding of the first examination under these parts shall be considered as having a provisional appointment and shall be required to compete in the examination without preference. Such new employee shall be admitted to the examination for the position on the basis of the minimum qualifications in effect at the time of appointment.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279; L 1994 c 631 s 31; 22 SR 45
Minn. R. 9575.0700 Veteran's Preference
Preference in the establishment of eligible registers shall be given to veterans in accordance with the provisions of Minnesota Statutes, section 43A.11.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0710 Purpose of Probationary Period
The probationary period is an essential part of the examination process and shall be used to closely observe the employee's work, to obtain the most effective adjustment of a new employee to the obligations of the position, and to remove any employee whose performance does not meet the required standard of work.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0720 Probation Required
A person employed by an appointing authority in any of the following ways shall serve a probationary period:
A. appointment from an eligible register other than the layoff list;
B. reinstatement of a former probationary employee or of a former permanent employee in an agency other than the last employing agency;
C. transfer of an employee between counties except when specifically waived, in writing to the merit system supervisor, by the new employing county prior to the date on which the transfer of a permanent employee becomes effective; or
D. transfer or reinstatement to a position on the basis of eligibility from a comparable position in a similar merit system jurisdiction. An appointing authority may effect a probationary period in an employment action in which such period is not required as specified above by writing this condition of appointment on the appointment report submitted to the merit system. In no case, however, may a probationary period be required of a permanent employee who is appointed from the layoff list.
History
- Statutory Authority: MS s 256.012
- History: 14 SR 1008
Minn. R. 9575.0730 Duration of Probationary Period
Subpart 1. Length of probationary period.
The probationary period shall consist of the equivalent of the first six full months of compensated service following the date of the appointment action requiring a probationary period, except as provided in part 9575.0740. Intermittent employees shall serve a probationary period of six full months, not to exceed two calendar years. Employees who are in the professional series of classifications and who are supervisors or managers shall serve a one-year probationary period. Unpaid leave of ten or fewer workdays during the probationary period does not affect the duration of the probationary period.
Subp. 2. Exception to length of probationary period.
If the appointing authority has an established policy that applies to all employees of that appointing authority governing the length of the probationary period, the appointing authority may follow that policy.
History
- Statutory Authority: MS s 256.012
- History: 18 SR 2277; 23 SR 2404
Minn. R. 9575.0740 Extension of Probationary Period
In rare or unusual circumstances or conditions that prevent the making of a full and fair determination as a basis for granting permanent status or separating the employee from the service, an extension of the probationary period for up to three months may be granted. The appointing authority shall provide notice of the extension to the merit system and the employee. A current evaluation of the employee's performance shall accompany the notice. If the appointing authority has an established policy which applies to all employees of the appointing authority and which allows for an extension for a period of more than three months, the appointing authority may follow that policy.
History
- Statutory Authority: MS s 256.012
- History: 12 SR 458; 22 SR 45; 23 SR 2404
Minn. R. 9575.0750 Promotion During Probation
An employee serving a probationary period may be promoted to a position in a higher class. An employee who is promoted begins a probationary period in the higher classification as of the date of that appointment.
A probationary employee who is promoted to a position in a higher class in the same occupational field shall complete a probationary period in the lower class by service in the higher position.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0760 Transfer During Probation
A probationary employee may be transferred from a position under one appointing authority to a position in the same class under another appointing authority if the employee was not appointed from a certification from a county register.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0770 Demotion During Probation
A probationary employee who is demoted to a class of positions in the same occupational field shall have included as a part of the probationary period in the lower class the period of service in the higher class unless the appointing authority writes on the report of the demotion to the merit system that a new probationary period is required in the lower class.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0780 Removal During Probation
Subpart 1. Written notice.
A probationary employee may be dismissed by an appointing authority without the right to an appeal or hearing except as may otherwise be provided by law. The employee shall be given written notification, including the reasons for dismissal. A copy of the notification shall be submitted to the supervisor.
Subp. 2. Restoration to former class.
A probationary employee who has permanent status in another class in the same agency and who is not granted permanent status in the new classification shall be restored to a position in the class from which the person was promoted as seniority permits or in a comparable class as these parts permit, unless the failure to grant permanent status was due to the misconduct of the employee.
When there is no position to which the employee can be restored, because of abolishment of jobs or lack of seniority, the provisions of part 9575.0930 apply.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279; 25 SR 556
Minn. R. 9575.0790 Completion of Probationary Period
Subpart 1. Notice and evaluation of performance.
The appointing authority shall submit written notice of the satisfactory completion of the probationary period to the employee and to the merit system within ten days of the expiration of the probationary period. A rating or appraisal of the employee's performance shall accompany the notice. The employee shall then be granted permanent status in the position the day following the last day of the probationary period.
Subp. 2. Permanent status.
If an appointing authority fails to implement the purpose and intent of the probationary period by appropriate action as provided in parts 9575.0710 to 9575.0790, a probationary employee whose probationary period is not extended or who is not certified permanent according to subpart 1 and is not removed or demoted but is continued in employment beyond the full probationary period shall obtain permanent status in the position by the default of the agency. The payment of salary beyond the probationary period shall be deemed to be evidence of the determination by the appointing authority that permanent status shall be granted to the employee. The supervisor shall enter such status on the record of the employee and shall notify the appointing authority and the employee of the change in status.
Subp. 3. Report to council.
Each instance in which permanent status is granted to an employee in accordance with the provisions of subpart 2 shall be reported to the merit system council. The council may recommend and the commissioner may take appropriate action to ensure that the purpose and intent of the probationary period shall be given effect in the agency in all future appointments.
History
- Statutory Authority: MS s 256.012
- History: 23 SR 2404
Minn. R. 9575.0800 Methods of Making Promotions
As far as is practicable and feasible, a vacancy shall be filled by promotion of a qualified probationary or permanent employee based upon the performance of the employee's duties, as evidenced by recorded service ratings, with due consideration for length of service and for the employee's capacity for the new position. The appointing authority, in making a promotion, may consult with the supervisor about the promotional status of an employee. A candidate for promotion must be certified by the supervisor to possess the qualifications for the position as set forth in the specifications for the class of positions for which the employee is a candidate. The candidate shall be required by the supervisor to qualify for the new position by promotional competitive or noncompetitive examination administered by the supervisor.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0810 Promotion by Competitive Examination
Subpart 1. Basic requirements.
An employee, to be eligible to compete for promotion, must have permanent or probationary status and must meet the minimum qualifications for training and experience for the class of positions.
Subp. 2. Contents of examination.
At the discretion of the merit system supervisor and the appointing authority involved, a promotional competitive examination may be limited to the employees of one local social services agency or may be open to the employees of all local social services agencies. If it is determined by the commissioner of the Department of Human Services for the statewide service to fill vacancies in a particular class of positions by promotional competitive examination, such examination shall be given under the direction of the supervisor. A promotional competitive examination may consist of any combination of the following: written tests, ratings of training and experience, evaluation of recorded service ratings, promotional ratings, seniority, performance tests, and oral examinations. The combination in each case and procedure for the determination of the passing grade shall be announced by the supervisor in advance of the examination and shall take into consideration approved practices.
Subp. 3. Placement on register.
All employees who receive a passing grade shall be placed on a promotional register for the class of positions in order of their final ratings, except as modified by part 9575.0700.
Subp. 4. Existence of two registers.
If a promotional register and an original register exist, the same number of names shall be certified from each register in accordance with parts 9575.0600 to 9575.0630. The appointing authority may make its selection from the names submitted from either register, giving such preference to present employees as the good of the service will permit.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; L 1994 c 631 s 31
Minn. R. 9575.0820 [Repealed, 12 SR 458]
[Repealed, 12 SR 458]
Minn. R. 9575.0850 Transfers
Subpart 1. Between subdivisions in same county.
A transfer of an employee from a position in one organizational subdivision of a county welfare staff to a position of the same class in another organizational subdivision of the county welfare staff may be made at any time by the appointing authority concerned.
Subp. 2. Same position in different counties.
Transfer of a probationary or permanent employee from a position on one county welfare staff to a position of the same class on another county welfare staff may be made with the approval of the appointing authorities concerned and the supervisor, subject to the provisions of parts 9575.0720 and 9575.0760. All such transfers must be reported to the supervisor.
Subp. 3. Between different positions.
With the approval of the merit system supervisor, a permanent employee may transfer from a position in one class in a county agency to a position in a different class in the same or different county agency that has a salary range within one step of the former class and similar comparable work value. If the work behaviors and examination content areas of the two classes are not similar and if the employee has met the minimum qualifications of education and experience for the class to which transfer is proposed, the supervisor may require the employee to take and pass, on an advisory basis, the examination for the class to which transfer is proposed before approving the transfer.
History
- Statutory Authority: MS s 256.012
- History: 15 SR 452
Minn. R. 9575.0860 Demotions
Subpart 1. Reason.
An appointing authority may demote an employee for inefficient performance of duties, for disciplinary reasons, or for other just causes.
Subp. 2. Statement of reason, reply, and right to a hearing.
A permanent employee shall be furnished with a statement in writing, setting forth the reasons for the demotion, before the action is taken. The employee shall be permitted five days' time to reply thereto, in writing, or upon request, to appear personally and reply to the appointing authority. A copy of the statement and the employee's reply, if any, shall be filed with the supervisor prior to the effective date of the demotion. The permanent employee, upon written request, may demand a hearing before the council in accordance with the provisions of parts 9575.1150 to 9575.1200.
Subp. 3. Demotion.
At any time during the probationary period that an appointing authority determines that the employee's performance does not meet work standards, the appointing authority may demote the employee, except that no employee serving a probationary period following transfer or promotion shall be demoted except for just cause or with the employee's consent during the first 30 calendar days of the probationary period.
Subp. 4. Seniority upon demotion.
Seniority of an employee in the class to which the employee is demoted shall be limited to service in the agency and shall consist of the combined total of prior seniority in the class to which demotion occurs, in all higher classes, and in all other classes that the supervisor determines to be sufficiently similar to the class to which demotion occurs.
Subp. 5. Choice of employee.
Any permanent or probationary employee about to be laid off shall be demoted to displace any employee with less seniority in the next lower class in which the person previously served unless the person elects to be laid off. In either event the name of such employee shall be placed on an appropriate layoff list and upon written application may be placed on an appropriate reemployment list.
Subp. 6. Other circumstances.
An appointing authority, with the consent of the affected employee, in lieu of layoff, may demote a permanent or probationary employee not covered by the preceding provision. Such action shall not entitle the employee to a hearing, in the demotion, but the employee's name shall be placed on the layoff list and upon request may be placed on the reemployment list for the class from which the employee was demoted. No employees so demoted shall displace a permanent or probationary employee except in order of seniority.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0900 Resignations
Subpart 1. Written resignation.
An employee who resigns shall notify the appointing authority in writing. A copy of the resignation shall be forwarded to and recorded by the supervisor.
Subp. 2.
[Repealed, 25 SR 556]
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279; 25 SR 556
Minn. R. 9575.0910 Dismissals
Subpart 1.
[Repealed, 25 SR 556]
Subp. 2. Permanent employees.
No employee who has permanent status shall be dismissed from a position except for just cause. Before the action is taken, a permanent employee shall be furnished with a statement, in writing, setting forth reasons for the dismissal. The employee shall be permitted five days time to reply thereto, in writing, or, upon request, to appear personally and reply to the appointing authority. A copy of the statement and the employee's reply, if any, shall be filed with the supervisor prior to the effective date of the dismissal. Any such employee who is dismissed may demand a hearing before the merit system council in the manner prescribed by part 9575.1180.
Subp. 3. Deception or fraud.
Any employee who willfully practices, or attempts to practice, any deception or fraud in an application, in a certificate, in an examination, or in obtaining eligibility or appointment, shall upon discovery and proof thereof, be removed and discharged. Charges alleging such deception or fraud may be initiated by the appointing authority or by the supervisor, in conformity with the provisions of this section relating to notice of discharge and hearing before the merit system council.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279; 25 SR 556
Minn. R. 9575.0920 Suspensions and Investigatory Leave
Subpart 1. Unpaid suspensions.
After written notice, the appointing authority may suspend any employee without pay for just cause for a period not to exceed 30 calendar days in any one calendar year. Suspensions of five or fewer consecutive working days or ten or fewer working days in a calendar year are not appealable to the council under part 9575.1180.
Subp. 2. Investigatory leaves.
The appointing authority may place an employee who is the subject of a disciplinary investigation on an investigatory leave with pay if a reasonable basis exists to warrant the leave. This action taken by an appointing authority may not be appealed to the merit system council under part 9575.1180.
History
- Statutory Authority: MS s 256.012
- History: 25 SR 556
Minn. R. 9575.0930 Layoff
Subpart 1. Reasons and procedures.
An appointing authority may lay off an employee in the classified service by reason of abolishment of the position, lack of funds, shortage of work, or other reason outside the control of the employee. No permanent employee, however, shall be laid off while any emergency, provisional, temporary, or probationary employee is continued in a position of the same class in the agency. Layoff shall be made in inverse order of seniority by employment conditions in the class of work in the agency. Seniority for purposes of layoff shall be the length of service in the class from which layoff occurs in the agency.
Subp. 2. Equal seniority.
If two or more persons in the class in which layoff occurs have equal seniority, the order of layoff shall be in inverse order of the date of acquisition of permanent status in the class. If a tie still remains, the order of layoff shall be determined by the average of the last two performance evaluations, if available, or the last evaluation, if only one is available and the employee with the lowest such average or evaluation shall be laid off first. If no performance evaluations are available, the order of layoff shall be determined by the appointing authority in such a way as to retain in the agency the employee(s) considered most valuable.
Subp. 3. Demotions.
Any permanent or probationary employee about to be laid off shall be demoted to replace the employee with the least seniority in the next lower class in which that employee previously served, unless the employee elects to be laid off.
Subp. 4. Notice.
The appointing authority shall notify in writing the employee and the supervisor at least ten working days before the effective date of the layoff and shall state the reason for the layoff. If the appointing authority fails to certify before the effective date thereof that the layoff was for reasons not reflecting discredit on the employee, it shall be deemed a dismissal and shall be subject to the rules regarding dismissal.
Subp. 5. Order on layoff list.
The names of permanent or probationary employees laid off or demoted in lieu of layoff shall be placed in order of seniority on the layoff list for the class and the agency from which the layoff took place. The affected employees shall have their names placed also on the reemployment list for the class from which the layoff took place and any other class in which they have permanent or probationary status prior to layoff.
Subp. 6. Length of time on layoff list.
Names of laid off employees will remain on the layoff list for a minimum of one year and eligibility shall be extended to a period of time equal to the employee's previous service in the merit system not to exceed five years. The name of a laid off employee must be removed from the layoff list if the employee fails to accept a position in the former classification and county agency or if the employee is appointed to a permanent position in a class equal to or higher than the one from which the employee was laid off. In such cases, the employee's name must remain on the reemployment list for the class from which the employee was laid off.
Subp. 7. New positions.
Whenever an appointing authority submits a requisition to fill a vacancy for a new position in the agency and a layoff list exists for that agency for the class in which the position to be filled is classified, the one name highest on the layoff list shall be certified to the agency for appointment.
Subp. 8. Scope.
The provisions of this part shall apply to all layoffs, except where otherwise provided in written contract between an agency and an exclusive bargaining representative or in instances in which there is a county policy covering layoff.
History
- Statutory Authority: MS s 256.012
- History: 16 SR 2054; 25 SR 556
Minn. R. 9575.0940 [Repealed, 25 SR 556]
[Repealed, 25 SR 556]
Minn. R. 9575.0950 Reinstatement of Former Permanent Employee
Upon written request of an appointing authority to and with the approval of the supervisor, an employee who has successfully passed a merit examination and has acquired permanent status in a class under chapter 9575 may be reinstated to a position in the same class at any time within two years after the date of resignation in good standing. Under the same conditions, a reinstatement may be made within a period of time, not to exceed five years, equivalent to the continuous period of the employee's service since January 1, 1940, in a county welfare agency. Reinstatement shall be without benefit of previously acquired seniority. Upon approval of the supervisor, reinstatement may be made directly by an appointing authority, provided that there is a vacancy.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.0960 Reinstatement of Former Probationary Employee
Upon written request of an appointing authority and with the approval of the supervisor, a probationary employee who has resigned in good standing may be reinstated as a probationary employee to a position in the same class at any time within a year after the date of resignation.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.0970 [Repealed, 12 SR 458]
[Repealed, 12 SR 458]
Minn. R. 9575.0980 Reemployment of Former Permanent or Probationary Employees
Former permanent or probationary merit system employees who voluntarily separate in good standing with a satisfactory or better separation rating may, upon request, have their names placed on a reemployment list for their last class of employment and for any other classes in which they possessed permanent status prior to separation. Requests must include which classes, locations, and employment conditions the former employee is willing to consider and must be submitted to the merit system within one year of separation. A person may remain on the reemployment list(s) for up to three years and must return to the merit system within four years of separation. Former employees reemployed under the provisions of parts 9575.0900 to 9575.0980 must serve a new probationary period upon appointment.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1000 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.1010 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.1020 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.1030 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.1040 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.1050 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.1060 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.1070 Repealed by subpart
Subpart 1.
[Repealed, 22 SR 45]
Subp. 2.
[Repealed, 22 SR 45]
Subp. 3.
[Repealed, 11 SR 893]
Subp. 4.
[Repealed, 11 SR 893]
Subp. 5.
[Repealed, 11 SR 893]
Minn. R. 9575.1080 Repealed by subpart
Subpart 1.
[Repealed, 22 SR 45]
Subp. 2.
[Repealed, 22 SR 45]
Subp. 3.
[Repealed, 11 SR 893]
Subp. 4.
[Repealed, 22 SR 45]
Minn. R. 9575.1150 Appeals and Hearings in General
Subpart 1. Council hears appeals.
The council or appeal board or referee appointed by the council shall hear all appeals under parts 9575.1150 to 9575.1200.
Subp. 2. Written notice.
A written notice of appeal, specifying the reason or reasons for the appeal, must be submitted to the supervisor within 30 days of the action appealed or within 30 days of the date notification of the action was mailed to the affected party, whichever is later.
Subp. 3. Response to appeal.
Except for appeals under part 9575.1180, the supervisor shall reply to the appeal, interpreting the merit system rules and applicable law relative to the issues in the appeal. All affected parties will receive copies of the response.
Subp. 4. Appeal of resolution.
Any affected party who is dissatisfied with the supervisor's resolution may appeal that resolution and the appeal will be placed on the agenda of the next council meeting.
Subp. 5. Collective bargaining agreement.
Any permanent employee under a collective bargaining agreement who appeals a dismissal, suspension, or a reduction in pay or position under the provisions of a grievance procedure in such agreement may not subsequently appeal the same action to the council.
Subp. 6. Timing and copies of decisions.
All decisions shall be given within a reasonable time following the hearing and shall be in writing. Copies shall be sent to all parties involved and the merit system where final decisions are made by the appointing authority.
Subp. 7. Rules governing appeals.
Appeals shall be pursuant to the Administrative Procedure Act, Minnesota Statutes, chapter 14, and contested case rules of the Office of Administrative Hearings in parts 1400.5010 to 1400.8400.
History
- Statutory Authority: MS s 256.012
- History: 26 SR 391
Minn. R. 9575.1160 Appeals from Selection and Appointment Procedures
Subpart 1. Right to appeal rejection of application.
Any applicant may appeal a rejection of his or her application based on qualifications or removal from a register for reasons specified in part 9575.0580. The council shall review the reasonableness of the rejection or removal.
Subp. 2. Right to appeal for review of examination rating.
Any applicant who has taken an examination may appeal for review of the rating procedures in any part of the examination. The council shall review the rating procedures in order to determine whether they have been applied equally and fairly to all applicants.
Subp. 3. Decisions are final.
Decisions of the council regarding appeals under subparts 1 and 2 shall be final.
Subp. 4. Effect of certain actions upon a certification or appointment.
Admission to an examination, restoration to a register, or correction of an examination rating resulting from an appeal shall not affect a certification or appointment that may have already been made.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1170 Appeal from Allocation
Any employee or appointing authority may appeal the allocation of a position. The council shall review all facts relating to the allocation and make a recommendation to the commissioner. The commissioner's decision shall be final.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1180 Appeal from Dismissal, Suspension, or Demotion
Subpart 1. Right to appeal.
Any permanent employee who has not appealed under the provisions of a grievance procedure contained in a collective bargaining agreement may appeal any dismissal, suspension of more than five consecutive working days or ten working days in a calendar year, or reduction in pay or position to the council. The council shall review the action for compliance with the procedural requirements of parts 9575.0900 to 9575.0980 and whether or not the action was taken for just cause.
Subp. 2. Time of hearing.
The merit system supervisor shall make every effort to establish a hearing date within 30 days of receiving an appeal. If scheduling conflicts prevent that from occurring, the supervisor shall establish a hearing date as soon as reasonably possible, but no more than 90 days from the date the appeal was received.
Subp. 3. Recommendation.
After the hearing, the council shall make a recommendation to the appointing authority. Within 30 days of receiving the recommendation, the appointing authority shall make the final decision.
Subp. 4. Veterans.
Any veteran covered under the provisions of Minnesota Statutes, section 197.46 shall not be removed except for incompetency or misconduct shown after a hearing upon due written notice which includes a statement of charges.
History
- Statutory Authority: MS s 256.012
- History: 25 SR 556
Minn. R. 9575.1190 [Repealed, 22 SR 45]
[Repealed, 22 SR 45]
Minn. R. 9575.1200 Other Appeals
Any employee or appointing authority affected by action taken in the administration of chapter 9575 may appeal the action. The council shall review the action for compliance with the rules of the Minnesota merit system and applicable law and shall recommend to the commissioner remedial action it may deem warranted. The commissioner's action shall be final.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1250 [Repealed, 25 SR 556]
[Repealed, 25 SR 556]
Minn. R. 9575.1260 Employee Training
The supervisor shall cooperate with appointing authorities, employees, and others in fostering and aiding in programs of preservice training for the county welfare service and in-service training of employees, to the end that the quality of personnel services rendered to the counties may be raised and that employees may be aided to equip themselves for advancement in the service.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1270 Prohibition Against Other Employment
No employee shall hold other public office, except as provided in part 9575.0080, subpart 3, or have conflicting employment while in the employ of the appointing authority. Determination of conflicting employment shall be made by the appointing authority subject to the approval of the commissioner of human services.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58
Minn. R. 9575.1280 Interagency Operations
Subpart 1. Payroll review.
The commissioner of human services shall adopt a plan providing for the review by the supervisor of the payrolls or certified listings of employees and current salaries. Such plans shall provide for a periodic review of the payrolls or certified listings of employees and current salaries for conformity with the provisions of these rules.
Subp. 2. Records and reports.
The supervisor shall establish and maintain service records for each employee, showing name and classification, organizational unit, salary, changes in status, service ratings, and such other personnel information as may be considered pertinent. Every recommendation for a temporary or permanent change in the status of an employee shall be submitted by the appointing authority to the supervisor on forms prescribed by the supervisor.
Subp. 3. Cooperation with merit system agencies.
The supervisor, with the approval of the commissioner of human services, may cooperate with other state, federal, or local merit system agencies operating in conformity with the standards comparable to those contained in these rules. With the approval of the commissioner of human services, the supervisor may announce and administer joint examinations in conformity with the standards of these rules, and the registers so established shall be given recognition under these rules. When filling a vacant position, an appointing authority may request that the supervisor approve the transfer of a permanent employee from another merit system jurisdiction. If it is determined that both the classification level of the employee's position and the examination taken to obtain that position are comparable to those of the vacant position, the supervisor shall approve the transfer. All persons appointed under this rule shall be required to serve a probationary period.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; 17 SR 1279; 23 SR 2404
Minn. R. 9575.1290 Amendments to Rules
If and when it appears desirable in the interest of good administration, the commissioner of human services, with the advice and recommendations of the council, may make additions to or amend the rules.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58
Minn. R. 9575.1300 Effective Date
These rules shall supersede and replace previous rules adopted on August 1, 1941, with amendments. These rules shall become effective on the formal adoption by the commissioner of the Department of Human Services, providing that those employees now in the county welfare service who have acquired status under previous rules shall be accorded like status under these rules and providing that existing eligible registers are recognized and retained in accordance with the provisions of these rules.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58
Minn. R. 9575.1350 [Repealed, 23 SR 82]
[Repealed, 23 SR 82]
Minn. R. 9575.1360 Payment for Full-Time and Part-Time Employment
Subpart 1. Standard rates.
All rates prescribed in part 9575.1500 shall be standard rates for full-time employees except as otherwise negotiated for employees in a bargaining unit in agencies where there is an exclusive representative or under the provisions of part 9575.0350, subpart 2, item C. If employment in a position is on a part-time or intermittent basis, only the proportional part of the rate for the time actually employed shall be paid. Such time may be paid on an hourly, working day, or proportion of a month basis.
Subp. 2. Agencies with exclusive representatives.
Those agencies with an exclusive representative who negotiate different salary schedules from those shown in part 9575.1500 under the provisions of subpart 1 or those agencies operating under the provisions of part 9575.0350, subpart 2, item C, shall file within ten days after the signing of the contract such schedules with the supervisor.
History
- Statutory Authority: MS s 256.012
- History: 23 SR 82
Minn. R. 9575.1370 [Repealed, 23 SR 82]
[Repealed, 23 SR 82]
Minn. R. 9575.1380 Part Payment from Another Source
When part of the compensation of a county welfare or human service employee regularly is paid from another source, such as federal, state, city, or county governmental departments, or from a different fund or account outside the control of the appointing authority, the total salary from all governmental sources combined shall not exceed the amount payable at the maximum rate for the class of position involved on the compensation plan adopted by the agency.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1390 [Repealed, 23 SR 82]
[Repealed, 23 SR 82]
Minn. R. 9575.1400 [Repealed, 23 SR 82]
[Repealed, 23 SR 82]
Minn. R. 9575.1410 Salary for Appointments
Subpart 1. Entrance salary.
The entrance salary for the original appointment, provisional appointment, or emergency appointment of a new employee shall be at the minimum salary for the class of positions to which appointed, except when appointments are made above the minimum.
Subp. 2. Provisional employees.
An employee who is provisionally employed at a rate of pay higher than the minimum of the range prescribed for the class shall not be reduced in pay at the time of appointment from a register to the class.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279; 23 SR 82
Minn. R. 9575.1420 Salary for Promotions
Subpart 1. Increases.
An employee who is promoted shall have his or her salary raised to the minimum rate of pay for the new class. If his or her salary before promotion falls within the range of the new class but not on any step within that range, the salary shall be adjusted to the next higher step.
Subp. 2. Return to lower class after promotion.
An employee granted a salary increase after having been promoted may be permitted to retain that increase when returned to a lower class, if the salary paid does not exceed the maximum salary for the lower class.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1430 Salary for Demotions
An employee who is demoted except in accordance with part 9575.1580 and whose salary is above the maximum rate for the lower class shall be reduced in salary to at least the maximum rate for the new class. If the former salary is within the salary range for the lower class, the same salary may be continued. An employee whose position is reclassified downward in accordance with part 9575.1580 and remains in the same position may retain his or her former salary if it is above the maximum salary rate for the lower class but shall be ineligible to receive any further increases except those subsequently provided in the new classification.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1440 Salary for Transfers
An employee who is transferred may be paid the same salary received prior to transfer. If an employee's salary prior to transfer falls within the salary range of the class to which the employee is transferring but not on a salary step in that range, the employee's salary may be increased to the next higher step in the range but it shall not be lowered.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.1450 Salary for Reinstatements
A former employee who is reinstated or reemployed may be paid the same salary rate that the employee last received in the same class of position if it coincides with a step on the current salary range for the class, or if it does not coincide, at the next higher step.
History
- Statutory Authority: MS s 256.012
- History: 17 SR 1279
Minn. R. 9575.1490 County Regulations
Any variation from the compensation plan adopted by the local social services agency shall be in accordance with the provisions of the merit system rules (see part 9575.0310).
History
- Statutory Authority: MS s 256.012
- History: L 1994 c 631 s 31
Minn. R. 9575.1500 Compensation Plan; Human Services, 2001
Subpart 1. Professional.
The following minimum and maximum salary steps in monthly salary amounts shall be applicable to the specified classes of positions:
Subp. 2.
[Repealed, 15 SR 452]
Subp. 3.
[Repealed, 15 SR 452]
Subp. 4. Support personnel.
The following minimum and maximum salary steps in monthly salary amounts shall be applicable to the specified classes of positions:
Subp. 5.
[Repealed, 15 SR 452]
Subp. 6.
[Repealed, 15 SR 452]
Subp. 7. Clerical.
The following minimum and maximum salary steps in monthly salary amounts shall be applicable to the specified classes of positions:
Subp. 8.
[Repealed, 15 SR 452]
Subp. 9.
[Repealed, 15 SR 452]
Subp. 10. Maintenance and trades.
The following minimum and maximum salary steps in monthly salary amounts shall be applicable to the specified classes of positions. Janitors who are required to work for a period of at least five hours after 6 p.m. on a regularly scheduled basis may be paid a shift differential in the amount of one salary step above their normal day-work rate.
Subp. 11.
[Repealed, 15 SR 452]
History
- Statutory Authority: MS s 256.012
- History: 8 SR 1352; 9 SR 1339; 10 SR 1507; 11 SR 1075; 12 SR 458; 12 SR 1335; 13 SR 1688; 14 SR 1806; 15 SR 452; 15 SR 1697; 16 SR 2054; 17 SR 1829; 18 SR 2277; 19 SR 2090; 20 SR 2592; 22 SR 45; 23 SR 82; 23 SR 2404; 25 SR 556; 26 SR 811
Minn. R. 9575.1510 [Repealed, 23 SR 82]
[Repealed, 23 SR 82]
Minn. R. 9575.1550 Preparation and Adoption of Classification Plan
Subpart 1. Commissioner's duty.
The commissioner of human services shall formally adopt and make effective a comprehensive classification plan for all positions covered by this chapter which shall be published as part of the Human Services Merit System Manual. The plan shall be based on investigation and analysis of the duties and responsibilities of each position, and each position shall be allocated to its proper class in the classification plan. The plan shall be developed after consultation with supervisory officials, classification specialists, and persons technically familiar with the character of the work. All classifications shall be evaluated by use of a formal job evaluation system. When complete, the classification plan shall include for each class of positions an appropriate class title, a description of the duties and responsibilities, and the minimum requirements of training, experience, and other qualifications.
Subp. 2. Review by council.
The proposed classification plan, and any changes therein, shall be submitted to the merit system council for review and recommendations. After that review and recommendation and upon formal adoption by the commissioner of human services, the classification plan shall be the official plan for all positions. Class titles established by the adoption of the classification plan shall be used in all personnel and financial records of the Department of Human Services and appointing authorities, as well as in all examination procedures.
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; 10 SR 1507
Minn. R. 9575.1560 Allocation of Positions
Every position under the jurisdiction of an appointing authority shall be allocated by the supervisor to one of the appropriate classes established by the classification plan. No person shall be appointed or promoted to any position until it has been properly classified as herein provided. As additional classes are established or existing classes are abolished or changed, the necessary allocations or reallocations shall be made by the supervisor to new or existing classes as necessary.
History
- Statutory Authority: MS s 256.012
Minn. R. 9575.1570 Revision of Plan
Existing classes may be abolished or changed, or new classes added, in the same manner as the classification plan is originally adopted. All new or revised classes shall be evaluated by use of a formal job evaluation system.
History
- Statutory Authority: MS s 256.012
- History: 10 SR 1507
Minn. R. 9575.1580 Incumbents of Reclassified Positions
Subpart 1. Appointment authorized.
When a position is reclassified and it is determined to be a reallocation resulting from a significant change in the duties and responsibilities of the position occurring gradually over a period of time, the supervisor shall authorize an appointing authority to promote the incumbent of the reallocated position. An employee promoted in accordance with this provision shall serve a probationary period in the higher class.
Subp. 2. Eligibility.
When a position is reclassified resulting from a change in allocation the incumbent shall not be eligible to continue in the position except as provided in subpart 3 or unless eligible for original appointment, promotion, transfer, or demotion to the new class of positions. If ineligible to continue in such a position, the incumbent may be transferred, promoted, or demoted by appropriate action of the appointing authority in accordance with the applicable provisions of this chapter. If ineligibility of a permanent or probationary incumbent of a reclassified position arises from the existence of an eligible register established from an examination that the incumbent did not take, the incumbent may be permitted to take the same or equivalent examination from which the existing register was established without the examination being open for application. At that time, the county shall notify other employees that they may also apply and take the examination. The names of successful candidates examined under this part shall be placed on the existing register in accordance with the score attained. In any case in which the incumbent is ineligible to continue in the position and is not transferred, promoted, or demoted, the provisions of this chapter about layoff shall apply. Any transfer, promotion, demotion, or layoff in accordance with those provisions must occur within 60 days of the notification of reclassification of the position.
Subp. 3. Change in agency size.
If a position is reclassified as a direct result of the change in size of the employing agency without change in duties and functions, an incumbent with permanent or probationary status in the lower class shall be permitted to take a noncompetitive qualifying examination without regard to the qualifications for the class. An incumbent whose name is on a competitive promotional register for the higher class may be certified to the position regardless of the relative ranks of other candidates on the eligible register.
Subp. 4.
[Repealed, 10 SR 1507]
Subp. 5.
[Repealed, 10 SR 1507]
Subp. 6.
[Repealed, 10 SR 1507]
History
- Statutory Authority: MS s 256.012
- History: L 1984 c 654 art 5 s 58; 17 SR 1279; 23 SR 82
Chapter 9580 MISCELLANEOUS RULES
Minn. R. 9580.0100 [Repealed, 15 SR 508]
[Repealed, 15 SR 508]
Minn. R. 9580.0200 [Repealed, 15 SR 508]
[Repealed, 15 SR 508]
Minn. R. 9580.0300 [Repealed, 15 SR 508]
[Repealed, 15 SR 508]
Minn. R. 9580.0400 [Repealed, 15 SR 508]
[Repealed, 15 SR 508]
Minn. R. 9580.0500 [Repealed, 15 SR 508]
[Repealed, 15 SR 508]
Minn. R. 9580.0600 [Repealed, 15 SR 508]
[Repealed, 15 SR 508]
Chapter 9585 GAMBLING ASSESSMENTS
Minn. R. 9585.0010 Definitions
Subpart 1. Scope.
As used in parts 9585.0010 to 9585.0040, the following terms have the meanings given them.
Subp. 2. Collateral contact.
"Collateral contact" means an oral or written communication initiated by a gambling assessor to an individual, other than the offender, for the purpose of gathering additional information related to the offender's gambling behavior.
Subp. 3. Commissioner.
"Commissioner" means the commissioner of the Department of Human Services or the commissioner's designated representative.
Subp. 4. Compulsive gambling.
"Compulsive gambling" has the meaning given "pathological gambling" in subpart 10.
Subp. 5. Department.
"Department" means the Department of Human Services.
Subp. 6. Gambling assessment.
"Gambling assessment" means the evaluation conducted under part 9585.0040, subpart 2, that identifies the nature and extent of an offender's gambling behavior and the consequences gambling has had on personal, family, and vocational pursuits.
Subp. 7. Gambling assessor.
"Gambling assessor" means an individual identified on a department list and qualified under part 9585.0040, subpart 1, to perform a gambling assessment.
Subp. 8. Independent gambling assessor.
"Independent gambling assessor" means a gambling assessor who does not have a direct or shared financial interest or referral relationship resulting in shared financial gain with a treatment provider.
Subp. 9. Offender.
"Offender" means a person convicted of an offense listed in Minnesota Statutes, section 609.115, subdivision 9, paragraph (a).
Subp. 10. Pathological gambling.
"Pathological gambling" means maladaptive gambling behavior listed in code range 312.31 in the American Psychiatric Association's Diagnostic and Statistical Manual of Mental Disorders, Third edition, Revised (DSM-III-R), incorporated by reference in part 9585.0040, subpart 4.
Subp. 11. Presentence report.
"Presentence report" means the report required under Minnesota Statutes, section 609.115, subdivision 1.
Subp. 12. Probation officer.
"Probation officer" means an individual appointed to perform a presentence investigation under Minnesota Statutes, section 609.115.
Subp. 13. South Oaks Gambling Screen.
"South Oaks Gambling Screen" means the gambling screen developed by Dr. Henry Lesieur and Dr. Sheila Blume and published in the American Journal of Psychiatry September 1987, volume 144, number 9, pages 1184 to 1188, which is incorporated by reference. The standard is not subject to frequent change. The American Journal of Psychiatry is published by the American Psychiatric Association (Washington, D.C., 1987). The September 1987 issue of the American Journal of Psychiatry is available from the Department of Human Services library through the Minitex interlibrary loan system.
History
- Statutory Authority: MS s 245.98
- History: 17 SR 2779
Minn. R. 9585.0020 Probation Officer Responsibilities
Subpart 1. Screening of certain offenders for compulsive gambling; appointment for gambling assessment based on score.
When a person is convicted of a felony listed in Minnesota Statutes, section 609.115, subdivision 9, paragraph (a), the probation officer shall administer the South Oaks Gambling Screen to the offender to determine whether compulsive gambling may have contributed to the commission of the offense. If the offender scores five or more on the South Oaks Gambling Screen, the probation officer shall make an appointment for the offender to receive a gambling assessment. Except as provided in subpart 2, if the offender scores less than five on the South Oaks Gambling Screen, no appointment shall be made for a compulsive gambling assessment.
Subp. 2. Information indicating offender may be a compulsive gambler; appointment for gambling assessment required.
If, in the course of preparing the presentence investigation report, the probation officer obtains information that indicates the offender may be a compulsive gambler, the probation officer shall make an appointment for the offender to receive a gambling assessment regardless of the score received on the South Oaks Gambling Screen.
Subp. 3. Report when an appointment is not made.
When no appointment is made for a gambling assessment under subpart 1 or 2, the probation officer shall indicate in the presentence report that there is no evidence that compulsive gambling contributed to the commission of the offense.
Subp. 4. Appointment with gambling assessor from department list; preference given to independent gambling assessors.
An appointment for a gambling assessment under subpart 1 or 2 must be made with a gambling assessor from a list prepared by the department. When there are independent gambling assessors available within 50 miles of the home of an offender who is released pending sentencing, or within 50 miles of the correctional facility in which the offender is held pending sentencing, and the independent gambling assessors can complete the gambling assessment within 21 calendar days, the appointment must be made with an independent gambling assessor. If there are no independent gambling assessors available within 50 miles of the home of an offender who is released pending sentencing, or within 50 miles of the correctional facility in which the offender is held pending sentencing, or the independent gambling assessors cannot complete the gambling assessment within 21 calendar days, the probation officer may schedule an appointment with a gambling assessor who has a direct or shared financial interest or referral relationship resulting in shared financial gain with a treatment provider.
Subp. 5. Gambling assessment report; recommended level of treatment.
When an appointment is made for a gambling assessment under subpart 1 or 2, the presentence report must contain the results of the compulsive gambling assessment and, if treatment is recommended, the recommended level of treatment.
Subp. 6. South Oaks Gambling Screen training.
Before a probation officer may administer the South Oaks Gambling Screen to an offender, the probation officer must be trained in its use by the department or the Department of Corrections.
History
- Statutory Authority: MS s 245.98
- History: 17 SR 2779
Minn. R. 9585.0030 [Repealed, L 2007 c 147 art 8 s 38]
[Repealed, L 2007 c 147 art 8 s 38]
Minn. R. 9585.0040 Gambling Assessors; Qualifications and Responsibilities
Subpart 1. Gambling assessors; identified on department list.
Before an individual's name is placed on the department's list of qualified gambling assessors, the individual must provide the department the following information:
A. the individual's name, mailing address, telephone number, and geographic area the individual serves;
B. a statement indicating whether the individual has a direct or shared financial interest or referral relationship resulting in shared financial gain with a treatment provider and, if so, the name of the treatment provider;
C. documentation that the individual has successfully completed 60 hours of gambling specific training in the following areas:
D. documentation that the individual is qualified as a:
Subp. 2. Compulsive gambling assessment.
The gambling assessor shall evaluate the offender's gambling behavior and the consequences that gambling has had on personal, family, and vocational pursuits. Areas that must be addressed in the gambling assessment are:
A. the nature and history of the offender's gambling behavior;
B. the impact that gambling has had on the offender's:
C. the use of drugs or alcohol; and
D. the offender's emotional state relative to depression, suicide ideation, and suicide attempts.
Subp. 3. Method of assessment.
The method of assessment must include a personal interview with the offender to evaluate the offender's gambling behavior. It must also include collateral contacts consistent with confidentiality and data privacy provisions in Minnesota Statutes, chapter 13. If a gambling assessor is unable to make collateral contacts, the gambling assessor must include an explanation of why collateral contacts were not made.
Subp. 4. Compulsive gambling determination; incorporation by reference.
The determination of compulsive gambling must meet the conditions of pathological gambling under code 312.31 in the American Psychiatric Association's Diagnostic and Statistical Manual of Mental Disorders, DSM-III-R which is incorporated by reference. The standard appears in the "Diagnostic and Statistical Manual of Mental Disorders, Third Edition, Revised, (DSM-III-R)," published by the American Psychiatric Association (Washington, D.C., 1987). The standard is not subject to frequent change. The book is available from the Department of Human Services library through the Minitex interlibrary loan system.
Subp. 5. Treatment recommendation.
If compulsive gambling contributed to the commission of the offense and the gambling assessor concludes that the offender is in need of treatment, the report required under subpart 7 must include the recommended treatment for the offender.
Subp. 6. Additional requirements when treatment recommendation involves direct or shared financial gain.
If the gambling assessor has a direct or shared financial interest or referral relationship resulting in shared financial gain with the treatment provider or program recommended, the gambling assessor must:
A. indicate in the recommendation that the gambling assessor has a direct or shared financial interest resulting in a shared financial gain with the treatment provider or program;
B. document why the recommended treatment is the preferred treatment option; and
C. identify a treatment provider or program that provides treatment services similar to those recommended by the gambling assessor in which the gambling assessor does not have a direct or shared financial interest.
Subp. 7. Written report; distribution.
The gambling assessor must prepare a written report that includes the information required under subpart 2 and shall indicate whether or not the offender is a compulsive gambler. If the offender is a compulsive gambler and the gambling assessor concludes that the offender is in need of treatment, the report must also include the recommended treatment and, if appropriate, the information required under subpart 6. A copy of the written report must be sent to the probation officer who made the appointment with the gambling assessor.
History
- Statutory Authority: MS s 245.98
- History: 17 SR 2779
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